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Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
On Wall Street July 1, 2012 Alan J. Foxman	Defining Full Disclosure Legal questions are answered on disclosure of civil actions and bankruptcy for registered investment adviser applicants and which members of an RIA firm may have control of an LLC.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Investment Advisor October 2010 Melanie Waddell	Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.
On Wall Street December 1, 2012 Alan J. Foxman	Sales Assistant Activities Limited by Finra Rules Our legal expert explains what your assistant can and cannot do with trade processing.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
On Wall Street June 1, 2011 Alan J. Foxman	Arbitration Station Advisor Q&As: Promissory notes... Do tax liens need to be reported on Form ADV?
Investment Advisor May 2010 Angela Herbers	The Fast Track: A Marriage of Inconvenience A spouse in a practice almost always results in more problems than it solves.
Job Journal February 10, 2008 Marty Nemko	Quick Fix: Housing's True Cost What to do when the high cost-of-living encroaches on your career options.
Registered Rep. October 1, 2005 Bill Singer	When in Doubt, Refer to the The Book Advisers cannot take trading instructions from anyone other than the authorized party. It's a simple rule. But here is what can happen when that rule is forgotten.
Registered Rep. June 1, 2004 Anne Field	The Great Divorce Handled right, divorces can be a new positive for the advisor: In most of the cases one advisor has encountered, she's ended up keeping both exes in the fold after the split-up.
Financial Planning July 1, 2012 Janice Fioravante	Secrets and Lies Advisors' burdens often center on the deceptions, frauds and blunders wrought by their own clients.
The Motley Fool April 1, 2004 Dave Braze	Update Your Beneficiaries After any major life event (marriage, birth, divorce, death), you must re-evaluate who will inherit what.
Investment Advisor April 2010 Olivia Mellan	Why Women Should Take the Wheel Because women live an average of six years longer than their male counterparts, they are much more likely to get to control the money eventually by themselves.
Investment Advisor November 17, 2010 Danielle Andrus	Form ADV Changes Have Advisors Worried Newly created guides can allay confusion
Financial Planning May 1, 2008 Bryce Sanders	Client Retention How to keep unhappy clients from leaving.
Financial Advisor July 2007 Dave J. Drucker	The Financially Illiterate Spouse How can financial advisors plan for a couple when one spouse won't participate?
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Registered Rep. January 2, 2015 Mindy Diamond	Spousal Team Dynamics With spousal partnerships, one's relationship at the office often impacts one's personal life and vice versa. It takes willingness, understanding and a thick skin to make a spousal financial partnership succeed.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
The Motley Fool July 21, 2006 Elizabeth Brokamp	Ask Mrs. Riches: How to Deal With a Freeloader An uninvited guest can wreak havoc on more than your food budget. Get your financial relationship questions answered here!
Investment Advisor December 2007 Lewis Schiff	Add a Break-Up Quarterback A divorce specialist can play a key role on your financial planning team.
ifeminists June 17, 2007 Amy Alkon	Not Taking Know for an Answer Letters to the editor: I have a guy friend, "Bobby," whose wife has blurted out twice (once at my wedding reception) that Bobby and I dated in college... etc.
Financial Advisor September 2010 Caren Chesler	Going Dutch For Advisors? How do you merge finances in a marriage if both spouses already have separate advisors?
Investment Advisor March 1, 2011 Bob Clark	A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet.
Financial Advisor September 2008 Wayne von Borstel	Who's Running Your Practice? One of the toughest obstacles for advisors is telling clients what they need to hear instead of what they want to hear. Some people simply don't want candor. Some people refuse to be coached.
Registered Rep. March 1, 2005 Anne Field	The Psychology of Money Most reps view themselves as some combination of stockpicker, number cruncher, relationship builder and financial advisor. But it's increasingly helpful to throw a dash of psychological expertise into the mix.
Financial Advisor January 2011 Joel P. Bruckenstein	ADV Help This new Web-based platform helps RIAs easily update their regulatory reports. This form is the primary disclosure document that SEC-registered investment advisors are required to provide to clients.
Investment Advisor February 2009 Olivia Mellan	"Turn left!"--"No, right!" How can advisors deal with the complexities of refereeing a couple's differences in a highly uncertain atmosphere.
Investment Advisor January 2009 Olivia Mellan	Understanding Overspending Financial advisors Q&As regarding how to discuss spending cutbacks with their clients.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Financial Planning February 1, 2011 John Knowlton	The Power of a POA Convincing your clients to see a lawyer and do the paperwork to designate a power of attorney may not be a financial planner's first responsibility, but it is an important one.
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Registered Rep. September 22, 2010 Kevin McKinley	Maximizing Social Security Although the majority of your clients may not fit exactly into this stereotype, here's how you can help maximize Social Security income for a couple who filled "traditional" roles during the years before retirement.
Financial Advisor April 2007 Marla Brill	The Couples Dynamic A new study reveals why financial advisors sometimes feel like marriage counselors.
Registered Rep. February 28, 2011 Hilary Johnson	Helping Wealthy Couples Agree On Their Financial Plans One of the most challenging conversations for a financial advisor to have, for example, is getting a married couple to agree on a financial plan.
Financial Planning May 1, 2012 Peggy Tracy	Finding Fraud To uncover intentional - and increasingly sophisticated - deceits, planners need to know about forensic accounting, financial planning, tax law and criminology.
Financial Planning June 1, 2007 Donald Jay Korn	Mars and Venus When married clients approach financial planning differently, advisors have problems to solve.
Registered Rep. August 1, 2005 Bruce Sankin	Cover Your A** With Paper Unfortunately, the client account form's importance is misunderstood, and many advisors do themselves a disservice by not maximizing its protective qualities. Here's a guide to doing so.
Entrepreneur January 2009 Jeff Elgin	The Anatomy of an FDD We break down your most tedious -- and valuable -- franchise research tool into digestible bites.
Investment Advisor August 2009 Olivia Mellan	Tweaking Your Money Personality Old spending and saving habits that seemed rigid or intransigent may be softening and moving toward more balance.
Investment Advisor June 2008 Olivia Mellan	Pants on Fire Because a lack of truthfulness can sabotage your clients' financial plans, as well as their relationships with each other and with you, it's worth examining why people lie and how you can foster more honesty in your practice.
Financial Advisor June 2011 Evan Simonoff	How Different Are We Really? Editor's Note: Anyone who thinks that the recession didn't expose the financial vulnerabilities and insecurities of men as much as women is living on Neptune, not Mars or Venus.
Financial Planning February 1, 2008 Jeanne Lee	Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008.
Registered Rep. June 1, 2004 John Churchill	Behind Every Great Man When you're talking to married financial clients, are you directing your eye contact solely to the husband? Do you slow your speech, to the point of condescension, when you address the wife?
Financial Advisor May 2012 Eric Rasmussen	The Horror Whether it's sibling rivalries, poorly thought out trusts or simply greed, the estate planning world offers an abundance of horror stories.
The Motley Fool November 14, 2006 Mary Dalrymple	After Retirement Think now about how to handle health setbacks late in life. Long-term care insurance can offer additional peace of mind.