Wealth Management Daily Memo

DECEMBER 6, 2018

INDUSTRY

Ron Carson Will Drop His FINRA License

David Armstrong

He’s giving other advisors in his network the option to do the same, setting up a limited purpose b/d to acquire their legacy, commission-based products.

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REGULATION AND COMPLIANCE

SEC Rule Is Imperfect, But Passable, Says FSI’s Brown

David Armstrong

DOL fiduciary rule architect Phyllis Borzi calls SEC’s proposal Reg BI “a huge step backward” for advisor standards.

SPONSORED CONTENT

Destination RIA: What to Expect and How to Prepare for Independence

Sponsored by BNY Mellon's Pershing

Are you ready to RIA?

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WEALTHCASTS

Entities Holding Trustee Positions

Martin M. Shenkman

For modern trusts, fiduciary roles may be held by various different trustees or entities. When is that a good idea?

SPONSORED CONTENT

Help Women Take Control of Their Long-Term Care Risk

Sponsored by Lincoln Financial Group

Female clients have a higher risk of needing and providing care for a loved one, due to longevity.