Page 5 - Investment Advisor April/May 2022

Departments APRIL/MAY 2022

VOL. XLII NO. 3

1 | ThinkAdvisor.com 47 | Advertiser's Index “Industry attorneys
6 | Editor's Note 47 | Classifieds see the SEC and FINRA
ramping up exams of
firms’ compliance with
Regulation Best Interest.”
—Melanie Waddell

Columns

The Playing Field

29 | These Compliance Issues Are
Top of Mind for Regulators. Are
You Ready?
By Melanie Waddell
Beginnings Retirement Planning The SEC exam division still struggles

Washington Watch 12 | Why Claiming Social Security with advisor exams, but that won’t
stop a heightened focus on Reg BI.
at 64 or 67 Could Be a Big Mistake
8 | Lobbyists Expect Major
Retirement Legislation to Pass Annuities Update The Fast Track
in 2022
16 | Revived Bill Would Allow 31 | 4 Steps to Building Effective
Industry Insights Annuities as Default 401(k) Training Programs for Associate
Investment Advisors
10 | The Curious Case of UBS and By Angie Herbers
Wealthfront RIA Lessons & Leaders
Treating new employees like the
18 | The Big Mistake That Leaves professionals they are also increases
Advisors Open to Lawsuits loyalty to the firm.

ESG Horizons Women in Wealth
38 | 10 Best Women-Run Companies 44 | ‘Sex and the City’ Hurt
to Invest In: Morningstar Millennial Women’s Relationship
Conclusions Alternative Investments With Money

Portfolio Perspectives The New School
39 | Advisors’ Crypto Adoption
34 | Warren Buffett’s 8 Nuggets of Will Rise ‘Profoundly and Quickly’: 46 | How to Spot Talent That's
Wisdom for Investors: 2022 Adam Dell Taken an Unconventional Path

ETF Advisor Broker-Dealer Beat Compliance Coach
36 | Top Index ETFs from 4 Big 40 | Why IBDs Are Changing Their 48 | The DOL Rule Is Finally Here.
Asset Managers Recruiting Deals You Must Be Ready.

Send comments to: [email protected]; by post to: 150 East 42nd St., Mezzanine Level, New York, NY 10017
HOW TO Subscriptions: Visit ThinkAdvisor.com. Address changes and circulation customer service: Send old and new addresses by fax to 847-763-9587;
CONTACT US by email to [email protected]; or call 800-458-1734.
Reprints: Email [email protected], or call 877-257-3382.

APRIL/MAY 2022 INVESTMENT ADVISOR 3