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OCTOBER 30, 2021

RETIREMENT PLANNING

The 10 States With the Most and Least Retirement Savings

WealthManagement.com Staff

Tax burden, cost of living and the general wealth of residents are all key factors.

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REGULATION AND COMPLIANCE

DOJ Charges Trader With Defrauding Twitter Followers in Pump-and-Dump Scheme

Patrick Donachie

The Justice Department said Steven Gallagher made over $1 million by bringing 'old-school boiler room tactics to the Twitter age.'

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SPONSORED CONTENT

Financial Coaching: A Prospecting Magnet

Sponsored by NaviPlan by InvestCloud

A method for attracting & growing financially literate clientele.

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REGULATION AND COMPLIANCE

DOL Delays Fiduciary Rule Enforcement to 2022

Patrick Donachie

The Labor Department announced it would not pursue claims against fiduciaries acting 'diligently and in good faith' to comply with the rule through Jan. 31, 2022, and it would not enforce rollover requirements through the end of June.

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TECHNOLOGY

Schwab Retools iRebal

Davis Janowski

Long-time users praised the new dashboard, simplified navigation and ease-of-use saying the reboot will appeal to new advisors.

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SPONSORED CONTENT

Surprise & Delight: Build Customer Loyalty with Thoughtful Action

Sponsored by Advisor Group

Nurture your client relationships with these impactful gift and action ideas.

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INDUSTRY

Merrill Tweaks Policy On Payout for Retained Client Accounts

Patrick Donachie

According to a senior Merrill executive, advisors will now get a 100% payout for retaining accounts from others who’ve departed the company or retired.

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CLIENT RELATIONS

Five Tips for Setting Fees—What You Need to Know

Scott MacKillop

Think about the needs and current financial situations of the clients you want to attract for the long-term.

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SPONSORED WEBINAR

How & When to Reinvest in Your Business

Sponsored by Bluespring Wealth Partners

This lively discussion on Monday, Nov. 1st will cover how to navigate the treacherious path of organizational growth. You'll learn how to manage your equity for sustainable growth and talent development.

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REGULATION AND COMPLIANCE

SEC: Colorado Advisor Defrauded Investors While Raising $3.2 Million

Patrick Donachie

According to the commission, as founder and owner of AMV Investments, Ann M. Vick made 'Ponzi-like payments' to cover promised returns for investors.

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REAL ESTATE

How Eight Multifamily Investors Are Raising Equity in Turbulent Times

WMRE Staff

The market is awash in equity capital. But how to sell investors on your firm’s multifamily play?

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CLIENT RELATIONS

Five Tips for Setting Fees—What You Need to Know

Think about the needs and current financial situations of the clients you want to attract for the long-term.

FULL ARTICLE

ESTATE PLANNING

Year-End Planning for Hard-to-Value Assets

Randy A. Fox

Collectibles, crypto, classic cars and coins are all part of your clients’ estates.

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