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October 24, 2014

SEC’s “No” on Active ETFs Is Good News for Advisors
FAs can highlight the value of building portfolios with the cheap, indexed variety.
TD Ameritrade Advances the Robo Stampede
Advisors are encouraged to “pick and choose” from the custodian’s stable of vendors.
Raymond James Trainee on Becoming an FA
Going from sales associate to FA calls for a “different mind-set.”
Advisor, Know Thy (Slightly Off-Putting) Self
For closing deals, emotional intelligence counts for more than raw knowledge.
Always Check Clients’ Legal Paperwork
A missing document can cause financial havoc — and even lead to court.