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Notes From the Fieldby Martin Weil

October 29, 2013

Quote of the Week

Overall, the Finra document is a reminder that the brokerage industry remains focused not on managing investments and delivering advice for clients, but on generating sales and trading by customers.

Just to point out, again, that there is a world of difference between a broker who works on commissions and other sales fees from providers and a fiduciary investment advisor who is paid a fee exclusively by their client for their services. Quote from Jason Zweig’s WSJ article “Whose Side Is Your Broker On?”, discussing a new report by the securities industry regulator.

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