Page 5 - Investment Advisor April/May 2022
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Departments                                                                         APRIL/MAY 2022

                                                                                                       VOL. XLII NO. 3

                 1 |              47 | Advertiser's Index          “Industry attorneys
                 6 | Editor's Note                 47 | Classifieds                 see the SEC and FINRA
                                                                                    ramping up exams of
                                                                                    firms’ compliance with
                                                                                    Regulation Best Interest.”
                                                                                                 —Melanie Waddell


                                                                                     The Playing Field

                                                                                     29 | These Compliance Issues Are
                                                                                     Top of Mind for Regulators. Are
                                                                                     You Ready?
                                                                                     By Melanie Waddell
                  Beginnings                       Retirement Planning               The SEC exam division still struggles

                  Washington Watch                 12 | Why Claiming Social Security   with advisor exams, but that won’t
                                                                                     stop a heightened focus on Reg BI.
                                                   at 64 or 67 Could Be a Big Mistake
                  8 | Lobbyists Expect Major
                  Retirement Legislation to Pass   Annuities Update                  The Fast Track
                  in 2022
                                                   16 | Revived Bill Would Allow     31 | 4 Steps to Building Effective
                  Industry Insights                Annuities as Default 401(k)       Training Programs for Associate
                                                   Investment                        Advisors
                  10 | The Curious Case of UBS and                                   By Angie Herbers
                  Wealthfront                      RIA Lessons & Leaders
                                                                                     Treating new employees like the
                                                   18 | The Big Mistake That Leaves   professionals they are also increases
                                                   Advisors Open to Lawsuits         loyalty to the firm.

                                                   ESG Horizons                      Women in Wealth
                                                   38 | 10 Best Women-Run Companies   44 | ‘Sex and the City’ Hurt
                                                   to Invest In: Morningstar         Millennial Women’s Relationship
                  Conclusions                      Alternative Investments           With Money

                  Portfolio Perspectives                                             The New School
                                                   39 | Advisors’ Crypto Adoption
                  34 | Warren Buffett’s 8 Nuggets of   Will Rise ‘Profoundly and Quickly’:   46 | How to Spot Talent That's
                  Wisdom for Investors: 2022       Adam Dell                         Taken an Unconventional Path

                  ETF Advisor                      Broker-Dealer Beat                Compliance Coach
                  36 | Top Index ETFs from 4 Big   40 | Why IBDs Are Changing Their   48 | The DOL Rule Is Finally Here.
                  Asset Managers                   Recruiting Deals                  You Must Be Ready.

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