Nerd's Eye View
AUGUST 5, 2022
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC has issued a new bulletin clarifying the responsibilities of brokers under Regulation Best Interest (Reg BI). Enjoy the ‘light’ reading! Read More.
Nerd's Eye View
SEPTEMBER 23, 2022
While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.
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Nerd's Eye View
JANUARY 13, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.
BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!
Walkner Condon Financial Advisors
APRIL 21, 2023
Fee-Only financial advisors are most often compensated as a percentage of assets (AUM), though also may be paid hourly, as a retainer, or as a flat fee, depending upon the planner you choose. This can include mutual funds, insurance policies, annuities, and other financial products. FINANCIAL ADVISOR, CANDIDATE FOR CFP® CERT.
Walkner Condon Financial Advisors
APRIL 17, 2023
Fee-Only financial advisors are most often compensated as a percentage of assets (AUM), though also may be paid hourly, as a retainer, or as a flat fee, depending upon the planner you choose. This can include mutual funds, insurance policies, annuities, and other financial products. What is a Certified Financial Planner (CFP)?
Sara Grillo
OCTOBER 21, 2022
I am an irreverent and fun marketing consultant for financial advisors. Before we get started, I wanted to give hanks to Jonathan Grannick of Wonder Wealth , as well as other financial planners for their input. What is a financial paraplanner? How do you get a job as a financial paraplanner?
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