Compensation Planning, Compliance and Financial Planner

Weekend Reading For Financial Planners (Sept 24-25)

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.

Financial Planner

Financial Planner Compensation Planning Compliance Insurance

Stock Options, Explained: Incentive Stock Options vs. Non-Qualified Stock Options

Carson Wealth

MAY 4, 2023

In practice, ISOs create complex tax compliance and planning issues for both employers and employees. Liam and Dana were not planning on owing taxes that year and are forced to tap into their emergency savings to cover the tax liability. A qualified stock option is traditionally referred to as an Incentive Stock Option (ISO).

Taxes

Taxes Sales Planning Tax Planning

Financial Advisor Source

Weekend Reading For Financial Planners (Sept 24-25)

Stock Options, Explained: Incentive Stock Options vs. Non-Qualified Stock Options

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