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June 10, 2020

Broker-Dealer Clients Show Increased Appetite for Margin Loans
Debit balances in margin accounts in April reached $525 billion, up from $479 billion in March.
Fee-Based Advice Helped Investors Save $5.8B in 2019: Morningstar
Investors are paying half as much as they did in fund expenses, in large part thanks to the transition to fee-based advice.
Blacks, Latinx Severely Underrepresented in Advisory Business: Data
The industry has a long way to go to achieve diversity and inclusion goals, data shows.
JPMorgan Pledges $3M for Social Justice Causes
The company says it will donate money to civil rights organizations promoting justice and inclusion and will match its employees’ contributions, two-to-one, to such groups as well.
Top Advisors Weigh In: Clients Must Address Liquidity Issues Upfront
Accepting that volatility is needed to generate returns in excess of bonds and cash can prevent investors from making mistakes, says one advisor.
Advisors Stayed in Regular Contact with Clients During Covid-19: Sifma
Sifma found that financial advisors in all 31 firms surveyed had direct contact with clients. Most of the firms' CEOs or heads of the private client group were also communicating with clients.
Judge Sends Fidelity 401(k) Trial to Zoom Videoconference
U.S. District Judge William Young said the trial will start Jul. 6.
Cybersecurity for FA Firms in the Time of Covid-19
Regulators are paying close attention to the measures advice firms have against data breaches and phishing scams, among other cybersecurity measures.

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