Wealth Management Daily Memo

MAY 15, 2019

REGULATION AND COMPLIANCE

FINRA: High-Risk B/Ds Had Nine Times More Misconduct Events

Diana Britton

Based on back-testing, firms that FINRA has identified through a new rule proposal presented higher risk of future misconduct events.

TECHNOLOGY

Carson Group Eyes Banking

Samuel Steinberger

The firm is equipping its advisors to compete for what one firm calls a $10 trillion opportunity.

SPONSORED CONTENT

This Social Security Loophole is Not Shut Yet

Sponsored by Nationwide

Can your clients still take advantage of this opportunity?

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TECHNOLOGY

Atria Wealth Solutions Unveils Upgraded Client Portal

Samuel Steinberger

Clear 1 is already being used by 300,000 end clients, but its official launch marks an even broader expansion.

SPONSORED CONTENT

A Charitable Conversation Guide

Sponsored by Fidelity Charitable

Help clients develop and effective and tax-smart giving strategy.

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