Page 6 - Investment Advisor July/August 2022
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Departments                                                                     JULY/AUGUST 2022

                                                                                                     VOL. XLII NO. 5

                 1 |              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


                                                                                     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

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