Morning Memo
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Wealth Management Morning Memo

SEPTEMBER 13, 2018

REGULATION AND COMPLIANCE

Consumer, Financial Planning Groups Call for Changes to Reg BI's Relationship Summary

Diana Britton

Research commissioned by the groups found that the regulation's "customer relationship summary" actually increased investor confusion over the differences between brokers and investment advisors.

FULL ARTICLE

EQUITIES

How Hurricane Florence May Affect Stocks: A Sector-by-Sector Guide

Esha Dey and Janet Freund

Here’s a recap of what Wall Street is watching.

FULL ARTICLE

2018 WEALTHMANAGEMENT INDUSTRY AWARDS FINALIST

Bringing Employee Financial Wellness Programs to the Workplace

Sponsored by Advizr

Helping employers increase financial literacy and wellbeing.

FULL ARTICLE

ESTATE PLANNING

Marital Trust Division Deemed a Non-Recognition Event, but Tax Implications Abound

Stephen J. Putnoki-Higgins

This ruling serves as a reminder of the potential perils and uncertainty that remain in the trust division and modification context.

FULL ARTICLE

2018 WEALTHMANAGEMENT INDUSTRY AWARDS FINALIST

Building Beneficial Behavioral Habits

Sponsored by Ladenburg Thalmann Financial Services

Good decision-making drives investor success more than any other aspect of financial planning.

FULL ARTICLE

The Daily Brief

TECHNOLOGY

When EF Hutton Talks Crypto, People Listen?

Davis Janowski

It is hard to imagine what the brothers Hutton and Gerald Loeb might make of the latter day firm and its latest plans.

FULL ARTICLE

TECHNOLOGY

Fintech Accelerator Accepting New Submissions

sa

Billed as the Shark Tank of advisory channel fintech, ScratchWorks launched its second season of competition.

FULL ARTICLE

REGULATION AND COMPLIANCE

Massachusetts Securities Regulator Cracks Down on Private Placements

David H. Lenok

Secretary of State William F. Galvin announced an investigatory sweep of 63 broker/dealer firms.

FULL ARTICLE
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