Morning Memo
 
Wealth Management Morning Memo

NOVEMBER 9, 2023

REGULATION AND COMPLIANCE

Another Barred Broker Files Suit Against FINRA

The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's constitutionality.

FULL ARTICLE

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INDUSTRY

Bank of Hawai‘i Outsources Its B/D Operating Platform to Atria

Via a “pass through” arrangement, Bank of Hawai‘i’s $23.5 billion broker/dealer subsidiary will gain access to Atria’s proprietary technology, including Clear1, Unio, and Contour, as well as home office support.

FULL ARTICLE

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ESTATE PLANNING

Year-End Strategy for Clients With Unused GST Tax Exemptions

But you must act before the Dec. 31, 2023 deadline.

FULL ARTICLE

RETIREMENT PLANNING

Millions of Retired Americans Aren't Coming Back to Work as Predicted

The Great Retirement induced by COVID-19 continues.

FULL ARTICLE

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