Page 6 - Investment Advisor - October 2021
P. 6
Departments VOL. XLI NO. 10
OCTOBER 2021
“We see this move by FINRA
1 | ThinkAdvisor.com 47 | Advertiser's Index as a positive for the public and
8 | Editor's Note 47 | Classifieds a negative for the [BDs] that
are categorized as a ‘restricted
firm.’”—Jon Henschen
Columns
The Playing Field
37 | FINRA’s New ‘Restricted
Firm’ Plan Means Broker-Dealers
Are on Notice
By Melanie Waddell
The rule, which should go into effect
Beginnings next year, is good for the public, but
problematic for BDs, says Jon Henschen.
Washington Watch RIA Lessons & Leaders
10 | Budget Reconciliation Plan 20 | Breakaway Advisors The Fast Track
Likely to Include Pared-Down Say They’re Happier to Be 39 | Why Hiring People Is an
Tax Measures Independent: Dynasty Art Form
Industry Insights Women in Wealth By Angie Herbers
Advisors might believe that adding
12 | New Acquisitions and 22 | Top Market Predictions administrative help is the answer to
Behavioral Efforts Lead Orion’s From Ark’s Cathie Wood growth. It’s not.
Platform Play
ETF Advisor
14 | Are Space ETFs Worth Exploring?
ESG Horizons
16 | DOL Rules on ESG
Investments Land at OMB Conclusions
Alternative Investments Retirement Planning
17 | The Great Value Rotation: Are The New School
Your Clients Prepared? 42 | Social Security Fund on Track
to Go Bust by 2033, But That’s 46 | Interviewing New Talent?
Portfolio Perspectives Better Than Some Experts Expected Questions You Can and Cannot Ask
18 | Jeremy Siegel’s Top 10 Broker-Dealer Beat Compliance Coach
Economic Predictions for the Next 44 | LPL to Invest More Than $1.3B 48 | 4 SEC Hot Buttons to
Few Months and Beyond
in Tech, Other Key Areas This Year Address Immediately
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4 INVESTMENT ADVISOR OCTOBER 2021 | ThinkAdvisor.com
