Page 6 - Investment Advisor June 2023

Departments Vol. XlIII no. 3
June 2023

1 | ThinkAdvisor.com 39 | Advertiser's Index “For many firms, step one
8 | Editor's Note 39 | Classifieds is cleaning up the P&L so
the information being used
is up to date, accurate and
unbiased.” —Angie Herbers

Columns

The Playing Field

31 | sEC Marketing-Rule
Enforcement Actions Could Be
Coming soon, Experts say
By Melanie Waddell
Recent Securities and Exchange
Beginnings Commission exams have found
“serious” marketing rule-related
Washington Watch deficiencies, according to the
general counsel of the Investment
Industry Insights Adviser Association.
10 | sEC Issues new
Reg BI Guidance 16 | Where did All the organic
Growth Go? The Fast Track
Retirement/
Annuities Planning Portfolio Perspectives 33 | 3 steps to Propel Your
organic Growth
12 | Where do Annuities Fit in 19 | Why sonders shuns stock By Angie Herbers
Your Clients’ Retirement strategy? Market Forecasts
It’s critical to see if you’re spending
in ways that are consistent with your
Conclusions growth goals.

Broker-Dealer Beat RIA Lessons & Leaders Compliance Coach

35 | How LPL Gives FAs the 37 | 7 no-nos When 40 | Could non-Compete
‘Muscle’ to Grow switching Firms Agreements Be Finished?

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4 Investment AdvIsor June 2023 | ThinkAdvisor.com