Morning Memo
Wealth Management Morning Memo

APRIL 8, 2020

INDUSTRY

Transitioning in the Midst of a Pandemic

The spread of coronavirus put a kink in Blyth & Associates’ transition to LPL, but the team found that most things could be done virtually.

FULL ARTICLE

TECHNOLOGY

SoFi Shells Out $1.2B For Galileo

Galileo is the fintech provider behind Carson Group and IFP's Money + cash management offering.

FULL ARTICLE

SPONSORED CONTENT

Proactive vs. Reactive

Why active municipal ETFs are better than a passive approach.

LEARN MORE

CAREERS

Inside Student-Run Investment Funds

Real-world experience managing portfolios provides a competitive advantage when it comes 
to securing full-time jobs.

FULL ARTICLE

CLIENT RELATIONS

Seven Steps to Perform a Successful “Wallet Dump”

Might as well perform some financial disinfecting while you're in quarantine.

FULL ARTICLE

CORONAVIRUS COVERAGE

REGULATION AND COMPLIANCE

SEC Issues Guidance on Reg BI, Form CRS Examinations

The SEC released two risk alerts to help firms prepare for the compliance date of June 30, which has remained unchanged despite the COVID-19 crisis.

FULL ARTICLE

REGULATION AND COMPLIANCE

Moving Forward With Reg BI—Communicate Early and Often

COVID-19 caused many firms to put Reg BI compliance on the back burner. Here are three key lessons to help firms get compliant by June 30.

FULL ARTICLE

PEOPLE

Poll: 15 Classic Books on Investing and the Markets

WealthManagement.com readers recently chose the top books that helped them the most in their investment careers. Give these classics a read during your self-quarantine, if you haven't already.

FULL ARTICLE

SPONSORED CONTENT

How to Manage Client Conversations During Turbulent Markets

This checklist provides behavioral techniques to help clients manage their emotions and their investments.

FULL ARTICLE

EQUITIES

This Stock Market Swoon Differs From All Others

Understanding why equities fell so far, so fast is the key to understanding the way forward.

FULL ARTICLE

EQUITIES

That Was Fast: Stock Rally Propels S&P 500 20% Past March Lows

The velocity of the rebound mirrors the speed of the plunge, calling into question the staying power of the gains.

FULL ARTICLE

The Daily Brief

PEOPLE

Ken Fisher Denies Ties to Trump, Malaria Drug Maker

Fisher says his firm is not among the largest shareholders of French pharmaceutical company Sanofi, as the Times' reports. The company makes up less than 0.8% of Fisher's portfolio.

FULL ARTICLE

REGULATION AND COMPLIANCE

Cantor Fitzgerald Settles Charges Related to Blue Sheet Violations

The SEC claims the firm provided incomplete and inaccurate securities trading data on about 35 million transactions over five years.

FULL ARTICLE

SPONSORED WEBINAR

CE CREDIT WEBINAR: Pro Strategies for a Resilient Practice In Uncertain Times

In the midst of uncertainty — market upheavals, commodity price shocks, and global health scares — how can you best support your clients, demonstrate the value of your advice, and move from fear to action? Let us provide you with proven strategies used by the pros, including championship athletes and top business executives, to be the calm at the center of the storm.

April 9, 2020 | 4:15 pm ET / 1:15 pm PT

REGISTER NOW

INSURANCE

DPL Expands Commission-Free Annuity Platform

The insurance network for RIAs added two commission-free fixed indexed annuities from Great American Life Insurance Company.  

FULL ARTICLE

READ MORE OF THE DAILY BRIEF