Morning Memo
 
Wealth Management Morning Memo

DECEMBER 8, 2023

REGULATION AND COMPLIANCE

B/Ds Want NASAA To Kill Reg BI-Related Revisions to Model Rules

Firms ranging from Morgan Stanley and Raymond James to LPL Financial and Cetera Financial Group decried state regulators’ proposals, but non-profit law clinics representing small investors said NASAA was on the right track.  

FULL ARTICLE

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ESTATE PLANNING

How a Fossilized T. Rex Sparked Family Friction in an Estate

Suspicious conditions lead to claims of undue influence.

FULL ARTICLE

WMTV ON LOCATION

Maximizing Returns and Minimizing Risk: The Strategic Role of Private Equity in Investment Portfolios

Mike Bailey, consultant at Fidelity Technologies Corporation, shares insights into private equity's superior performance, market differentiation, and diversification benefits.

WATCH NOW

ETFS

ETFs with the Best Returns over the Past Five Years

Funds focused on semiconductors were among the top-performing over the last five years.

FULL ARTICLE

MINDY DIAMOND ON INDEPENDENCE

How These Wells Fargo Breakaways Built a $2.4B Business

What motivated Chris and Brian Cooke to leave the wirehouse world for supported independence with a relatively unknown broker/dealer?

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WMTV ON LOCATION

Val deVassal on the S&P 500

Val deVassal, Portfolio Manager at Glenmede, discusses why the lack of diversification within the S&P 500 poses risks to investors.

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