Page 6 - Investment Advisor July/August 2022
P. 6
Departments JULY/AUGUST 2022
VOL. XLII NO. 5
1 | ThinkAdvisor.com 47 | Advertiser's Index “RIAs viewed the
8 | Editor's Note 47 | Classifieds new marketing and
advertising rule as the
hottest compliance
topic in 2021.”
—Melanie Waddell
Columns
The Playing Field
35 | SEC Sends Email Warning on
Beginnings Marketing Rule Compliance
Washington Watch Annuities Update By Melanie Waddell
The regulator is providing tips that
10 | Senate Panel Introduces 18 | Cheat Sheet: Basic Annuity
Retirement Bill as Part of Secure Types and Facts Every Advisor advisors should heed, but guidance
Act 2.0 Plan Should Know likely is needed due to other
stumbling blocks.
Industry Insights RIA Lessons & Leaders
The Fast Track
12 | An Inside Look at the 20 | 7 Characteristics of Top
Technology Advisors Like Advisors Who’ve Successfully 37 | Explosion of Firm Models
Moved Their Books
Retirement Planning Poses a Human Capital Challenge
By Angie Herbers
16 | How to Help Retirees Avoid
Tax Traps in Social Security, This means there are more dimensions
Capital Gains than ever in the hiring process, and a
need to match a candidate’s goals to
your firm’s type.
ETF Advisor
42 | Investing in the Metaverse:
What You Need to Know The New School
Alternative Investments 46 | In Today’s Tight Job Market,
Advisory Firms Need to Monitor
43 | 3 Ways Alternatives Help Industry Compensation
Conclusions Manage Investor Emotions Compliance Coach
Portfolio Perspectives Broker-Dealer Beat
48 | How to Avoid Code of Ethics
40 | El-Erian: 10 Insights for Advisors 44 | UBS Must Pay Clients $1.4M Infractions and Misuse of Non-
When There’s ‘No Safe Haven’ Over YES Options Strategy Public Information
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 JULY/AUGUST 2022 | ThinkAdvisor.com
