Page 6 - Investment Advisor July/August 2021

Departments JULY/AUGUST 2021

VOL. XLI NO. 7/8

1 | ThinkAdvisor.com 47 | Advertiser's Index “Don’t put the cart
8 | Editor's Note 47 | Classifieds before the horse when
considering the use

of testimonials and
endorsements.”

—Jim Lundy

Columns

The Playing Field

37 | Using Testimonials and
Beginnings Endorsements Under SEC’s
Marketing Rule? Tread Carefully
Washington Watch RIA Lessons & Leaders By Melanie Waddell
Advisory firms are itching to use
10 | Labor’s EBSA Faces Immediate 20 | Schwab: Advisors ‘Bullish’ on these marketing methods before their
and Long-Term Challenges: GAO Growth, but Barriers Remain for RIAs compliance departments are ready.
Industry Insights Tax Time

12 | The Dark Side of Technology 22 | An Insider Provides a The Fast Track
Consolidation Reality Check on Biden’s Tax, 39 | Taking a Closer Look at
Infrastructure Plans Technology
ETF Advisor By Angie Herbers
14 | Waiting for a Bitcoin ETF? You Women in Wealth With a well-thought-out strategy, tech
Might Be Waiting Until 2022 24 | Can You Spot the Social can be a force muliplier when it comes
Security Claiming Mistakes? to raising a firm’s valutation.
ESG Horizons
16 | Wealthy Investors Seek
Purpose-Driven Investments Broker-Dealer Beat
After Pandemic
44 | Number of Registered Reps
Alternative Investments Falls for Fifth Straight Year: FINRA
17 | Cathie Wood vs. Elon Musk and The New School
the Great Bitcoin Energy Debate
Portfolio Perspectives Conclusions 46 | How to Avoid Staff Turnover
Headaches
Retirement Planning
18 | Former FSLC Counsel Predicts Compliance Coach
Where Next Financial Crisis Will 42 | Target Date Funds: A ‘Time
Come From Bomb’ in a Retirement Tool for 48 | Five Ways Employers Can
the Masses? Avoid Discrimination Actions

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4 INVESTMENT ADVISOR JULY/AUGUST 2021 | ThinkAdvisor.com