WealthManagment.com Daily Memo
Wealth Management Daily Memo

SEPTEMBER 26, 2019

INDUSTRY

Former National Securities Branch Manager Gets Measly FINRA Award

In two arbitrations, a panel awarded National Securities and former branch manager Gerald Sharpe approximately $170,000 each, a net gain of just $2,000 for the branch manager.

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ETFS

SEC Removes Major Barrier to Entry for New ETFs

ETF managers no longer have to file for exemptive relief and can bring their products to market directly, although it does not apply to non-transparent ETFs, the SEC says.

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SPONSORED CONTENT

U.S. Consumption Leading the Way

Ominous headlines suggest growing risk on corporate balance sheets, but don't forget about broader strength in the U.S. consumer.

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BUSINESS PLANNING

Advisor Empowerment Drives Success for Firms and Clients

An advisor-first culture can benefit your entire organization, from clients to advisors to upper-level management.

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SPONSORED CONTENT

Direct Indexing: The Financial Industry’s Next Revolution

Learn more about direct indexing and how you can take advantage of its benefits to improve client performance.

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