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SEC Revises Marketing Rules for Advisors

Added on December 2020 in Manage Your Practice
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Summary: The SEC approved a revamp of its rules on how investment advisors advertise and pay solicitors, making the first substantive changes to the commission’s marketing mandates since the 1940 Advisers Act. The changes mean advisors can now use testimonials and endorsements in advertising under certain conditions, and can also use third-party ratings in marketing provided they include particular disclosures.

 

Social Media Bolsters Advisors' Work During the Pandemic

Added on October 2020 in Manage Your Practice
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Summary: Seventy-four percent of U.S. financial advisors in a new study used social media to initiate new business relationships or onboard new clients during the coronavirus pandemic, Putnam Investments reported Thursday.

 

'Devil's in the details': How advisors pick a custodian

Added on September 2020 in Manage Your Practice
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Summary: There’s a lengthy checklist financial advisors complete when going independent, but selecting where to house client assets is possibly the most critical item on it.

 

The Do's and Don'ts of Socializing With Clients This Summer

Added on July 2020 in Manage Your Practice
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Summary: The big question is: Can I socialize with anyone during the summer?

Life in some places is getting gradually closer to normal. Maybe it won’t be exactly the same, but humans are social. We like to see people, meet and greet our friends.

The practice of the future

Added on July 2020 in Manage Your Practice
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Summary: What a difference a few months can make! In March, we seemed deep in bear territory, and COVID-19 appeared to be sweeping across the country unchecked. As I write this in June, the market has come back strong, and, while we are keeping an eye on localized outbreaks, states are cautiously reopening businesses, restaurants, stores, and services.

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