Page 6 - Investment Advisor June 2022
P. 6

Departments                                                                        VOL. XLII NO. 4
                                                                                                          JUNE 2022

                 1 |              47 | Advertiser's Index          “A troubled broker with a
                 8 | Editor's Note                 47 | Classifieds                 record sanitized through
                                                                                    expungement creates a trap
                                                                                    for even the wariest investors.”
                                                                                                —Michael Edmiston


                                                                                     The Playing Field

                                                                                     33 | FINRA Wants to Make It
                                                                                     Harder for Brokers to Clear
                  Beginnings                                                         Their Records
                                                                                     By Melanie Waddell
                  Washington Watch                 Annuities Update                  FINRA found its arbitrators granted
                                                                                     78% of requests for expungement,
                  10 | FINRA Complex Product Ideas   19 | Use an Annuity to Solve the   which is supposed to be an
                  Are ‘Unworkable,’ Terrifying,    Stretch IRA Problem               “extraordinary” remedy.
                  Edelman, Nadig Say
                                                   RIA Lessons & Leaders
                  Industry Insights                20 | 4 Ways to Get Succession     The Fast Track

                  12 | Back in the Tank:           Planning Right                    35 | How to Expand Capacity
                  ScratchWorks Season 4                                              Without Adding Employees
                                                   Envestnet Awards                  By Angie Herbers
                  Retirement Planning                                                Smart firms push decision-making
                                                   22 | Envestnet, Investment Advisor   and creative problem-solving to
                  16 | How Social Security Spousal   Announce Top Active Managers    employees, making them more
                  Benefits Really Work: A Case Study                                 engaged and motivated.

                                                   ETF Advisor                       Broker-Dealer Beat

                                                   40 | New BlackRock ETFs Target    44 | LPL Picks Up Merrill Exec,
                                                   ‘Underestimated Investment        Shuffles Leadership
                                                                                     Wealth & Risk
                                                   ESG Horizons                      46 | Don’t Wait! Get Ahead of SEC

                                                   41 | Why Half of Mercer’s 500     Scrutiny With Mock Examinations
                  Conclusions                      Advisors Are Women                Compliance Coach

                  Portfolio Perspectives           Alternative Investments           48 | 4 Ways SEC’s New Proposed
                  38 | Recession Ahead? No, But    42 | At This Critical Point, Choose   Rules Put Cybersecurity Front
                  Expect a Bumpy Ride Predict      Your Own Portfolio Construction   and Center
                  Two Economists                   Adventure

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