Investment Writing

NOVEMBER 20, 2024

Power and Associates to recommend boosting investor trust with methods that include honest communication about investment performance and plain explanations for fees and commissions, according to “Study: Why focus on people, not profits, increases investor trust.” Under SEC and FINRA oversight, nobody wants to make a mistake.

Compliance 52

Compliance Communication Assets Investing 52

Good Financial Cents

AUGUST 12, 2023

Passive income refers to earnings derived from an enterprise in which a person is not actively involved on a daily basis. Understanding these rules or consulting a tax professional is vital to maximizing after-tax returns and compliance with tax laws. Active income refers to earnings that require consistent and direct effort.

Risk Tolerance 58

Risk Tolerance Taxes Compliance Retirement 58

Harness Wealth

SEPTEMBER 18, 2023

Modern Software Access: Harness Tax provides you with access to industry-leading software to ensure you have everything you need for tax planning and compliance needs. Harness Tax LLC is affiliated with Harness Wealth Advisers LLC, collectively referred to as “Harness Wealth”. Tax services provided through Harness Tax LLC.

Taxes 59

Taxes Accounting Clients Management 59

Harness Wealth

MARCH 17, 2023

However, it is essential to understand the tax implications of DeFi transactions and ensure compliance with the latest tax code changes, particularly as the industry continues to rapidly evolve. Work with a Harness Tax Advisor DeFi offers exciting opportunities for participants in the decentralized financial ecosystem.

Taxes 59

Taxes Government Assets Accounting 59

Inside Information

OCTOBER 30, 2021

Rostad is currently focused on what he sees as our best chance for meaningful reform: getting the Commission to revise the Form CRS disclosure so that it provides a clearer explanation of the different business models of broker-dealers/wirehouses, on the one hand, and fiduciary RIAs registered with the SEC on the other. Name change?

CFP 40

CFP Commission Investing Investments 40

Harness Wealth

APRIL 28, 2023

Making accurate and timely estimated tax payments helps you manage your taxable income, avoid penalties, and ensure you’re in compliance with the IRS. Failing to make these payments on time can result in penalties and interest charges. Tax services provided through Harness Tax LLC.

Taxes 52

Taxes Distribution Startup Assets 52

Brown Advisory

AUGUST 14, 2023

Active Return is a reference to how much an investment gains or loses, on a percentage base, when compared to its benchmark. A firm that claims compliance with the GIPS standards must establish policies and procedures for complying with all the applicable requirements of the GIPS standards.

Investments 52

Investments Investing Portfolio Accounting 52

Sara Grillo

APRIL 11, 2022

” As an hourly financial advisor he doesn’t make commissions for recommending products such as private REITs, structured products, etc. He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Sara Grillo

JUNE 12, 2023

Just a reminder that nothing in this podcast can be interpreted as a product, insurance or investment recommendation of any sort, nothing in this podcast can be interpreted as the legal or compliance advice, or any recommendations specific to your or your client’s personal situations. Please consult a consultant. Advisor or attorney?

Insurance 59

Insurance Clients Financial Advisor Math 59

Brown Advisory

JANUARY 1, 2023

For reference the U.S. Recently, Microsoft has seen the Federal Trade Commission (FTC) voice opposition to its pending $69bn acquisition of gaming company Activision Blizzard. They are solving an important societal need and welcomed by the government. has 26 urban areas over 2 million but is 82% urbanised (see: [link] ).

Investments 52

Investments Investing Valuation Clients 52

Sara Grillo

MAY 8, 2023

Financial advisor, and let’s just even suppose I’m a fee-only advisor just for the purpose of simplicity, I do not sell insurance, I don’t get compensated for insurance, I can accept commissions if someone needs term life, I refer them to the insurance agent down the street.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

SEPTEMBER 5, 2023

Listen, it’s always a good time to generate a commission if you’re a commission real estate agent. RITHOLTZ: So let’s put some flesh on these bones so people understand what you’re referring to. RITHOLTZ: It was great. MILLER: Of course. Like you, she wasn’t afraid to call people out. MILLER: Yeah.

Sales 130

Sales Numbers Marketing Marketing 130

Tucker Advisors

AUGUST 9, 2021

The word “fiduciary” refers to any advisors who must legally prioritize their clients’ interests above of their own. What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? Download Your Free Referral Marketing Guide. Download The Guide. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Sara Grillo

SEPTEMBER 26, 2022

Securities and Exchange Commission. Securities and Exchange Commission. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. Is this a PCP doctor? 2022, August 1). CFP® Professional Demographics. 2013, March).

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

JUNE 27, 2023

Not only did he serve on the Brady Commission looking at the ’87 crash, but his history of investing and trading and public service, both at the Fed and the Chicago Board of Trade and Treasury Department, really unparalleled, as well as just a pretty amazing track record as an investor and trader. What did you find?

Math 147

Math Risk Management Marketing Marketing 147

Harness Wealth

MAY 18, 2023

Advisor platforms like Dynasty, Hightower, and Focus Financial, among others, have enabled financial advisors the opportunity to be entrepreneurs while delivering what they refer to as a “best-in-class” experience relative to the large institutions they came from. The appeal of being an entrepreneurial advisor is strong.

Taxes 52

Taxes Wealth Advisor Marketing Marketing 52

The Better Letter

APRIL 27, 2023

One day, fairly early in the first semester, Professor Paschal called on a woman in the row ahead of me (who I shall kindly refer to – using a pseudonym since she became a prominent government attorney – as “Rhoda Clancy”) and asked her a typically impossible question. The New York Fed embedded her at Goldman Sachs.

Banking 74

Banking Media Ethics Compliance 74