Page 6 - Investment Advisor June 2022

Departments VOL. XLII NO. 4
JUNE 2022

1 | ThinkAdvisor.com 47 | Advertiser's Index “A troubled broker with a
8 | Editor's Note 47 | Classifieds record sanitized through
expungement creates a trap
for even the wariest investors.”
—Michael Edmiston

Columns

The Playing Field

33 | FINRA Wants to Make It
Harder for Brokers to Clear
Beginnings Their Records
By Melanie Waddell
Washington Watch Annuities Update FINRA found its arbitrators granted
78% of requests for expungement,
10 | FINRA Complex Product Ideas 19 | Use an Annuity to Solve the which is supposed to be an
Are ‘Unworkable,’ Terrifying, Stretch IRA Problem “extraordinary” remedy.
Edelman, Nadig Say
RIA Lessons & Leaders
Industry Insights 20 | 4 Ways to Get Succession The Fast Track

12 | Back in the Tank: Planning Right 35 | How to Expand Capacity
ScratchWorks Season 4 Without Adding Employees
Envestnet Awards By Angie Herbers
Retirement Planning Smart firms push decision-making
22 | Envestnet, Investment Advisor and creative problem-solving to
16 | How Social Security Spousal Announce Top Active Managers employees, making them more
Benefits Really Work: A Case Study engaged and motivated.

ETF Advisor Broker-Dealer Beat

40 | New BlackRock ETFs Target 44 | LPL Picks Up Merrill Exec,
‘Underestimated Investment Shuffles Leadership
Opportunities’
Wealth & Risk
ESG Horizons 46 | Don’t Wait! Get Ahead of SEC

41 | Why Half of Mercer’s 500 Scrutiny With Mock Examinations
Conclusions Advisors Are Women Compliance Coach

Portfolio Perspectives Alternative Investments 48 | 4 Ways SEC’s New Proposed
38 | Recession Ahead? No, But 42 | At This Critical Point, Choose Rules Put Cybersecurity Front
Expect a Bumpy Ride Predict Your Own Portfolio Construction and Center
Two Economists Adventure

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.

4 INVESTMENT ADVISOR JUNE 2022 | ThinkAdvisor.com