The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Tucker Advisors

AUGUST 9, 2021

What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? We provide the classes and we pay for many of the costs associated with obtaining the Series 65 license. Insurance-only agents are not licensed to offer investment advice. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. Entities like the s and p 500 growth fund are far more concentrated than is legally allowed by the 40 act, by which they’re governed. 01:11:54 Right?

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

JANUARY 24, 2023

And that’s — it’s a better form of governance because you’re like a family business since you don’t have 90-day reporting. RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate? You don’t have to worry about third parties.

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

SEPTEMBER 5, 2023

And so in many ways, the federal government is encouraging development in … RITHOLTZ: …In flood zones. And it’s like, I understand you’re a trade group, but if you’re a trade group, maybe the government shouldn’t rely on your data because you’re not fair actors in this space. Of course there is, right?

Sales 130

Sales Numbers Marketing Marketing 130

Sara Grillo

SEPTEMBER 26, 2022

Salaske: Part of it’s regular… you got the SEC, you’ve got state regulators, you get self-governing regulatory bodies like FINRA, and then the CFP Board that wants to basically be a de facto regulator without being a regulator at some point. Grillo: Next question. Well, we’ve kind of covered this already.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Harness Wealth

MARCH 20, 2025

Home office space deductions Business equipment deductions Travel expense deductions Vehicle mileage deductions Business meal deductions License fee deductions Health insurance deductions Retirement contribution deductions How do I claim home office tax deductions? However, the licenses must be directly related to business activities.

License 52

License Taxes Insurance Consulting 52

Harness Wealth

APRIL 29, 2025

Some require extensive record-keeping, regular board meetings, and additional compliance filings, while others maintain relatively straightforward compliance requirements. For multi-member LLCs, the operating agreement serves as the foundational document that governs the relationships between partners.

Taxes 52

Taxes Compliance Distribution License 52

Sara Grillo

SEPTEMBER 12, 2022

.” It brings to light the fundamental question of the role that institutions play in client outcomes, whether those institutions are truly putting the interests of the retail investor over those of their members, and the delicate balance between governance standards and the oppression of individual autonomy.

CFP 80

CFP Financial Planner Ethics Financial Planning 80