Page 6 - Investment Advisor - September 2023

Departments September 2023

Vol. XlIII No. 5

1 | ThinkAdvisor.com 39 | Advertiser's Index “The SEC’s plan is out for
8 | Editor's Note 39 | Classifieds a 60-day comment period;
comments are already
trickling in.”
—Melanie Waddell

Columns

The Playing Field

35 | The sEC’s new AI Plan
Expands Reg BI — and More
By Melanie Waddell
Industry attorneys say the plan would
10 Beginnings impose potentially burdensome
conflict-of-interest requirements on
broker-dealers and advisors.
Washington Watch
IRs to digitally Process
All Returns by 2025

40 The Fast Track

37 | Hiring Today Is Tough.
Conclusions Here’s How to Get It Right.

Compliance Coach By Angie Herbers
Advisor turnover gives firms the
Beware, the sEC Is chance to hire replacements with
Coming for You! better, and clearer, expectations.

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4 Investment AdvIsor September 2023 | thinkAdvisor.com