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October 21, 2016

$1B FAs Break Away to Chart Own Succession Identity
After big RIA cuts deal, FAs seek greater stability through independence.
At Wells Fargo Advisors, Few Changes After Bank Scandal
Wealth unit thus far has only rebranded sales meetings.
Trump Advisor Promises to Repeal DOL Rule
Many protest comparison of the fiduciary rule to the Dred Scott case.
Galvin Charges Two Firms Hiring “Rogue” Brokers
Move comes following sweep of 241 broker-dealers that hire reps with disciplinary history.
Never Stop Educating — Especially in Downturns
When market downturns spark client fears, reminding clients of your broader investment strategy can help remind them of the big picture.