Elizabeth MacBride

Best summary of outstanding questions and little known developments I’ve seen. 

Thank you for keeping up the pressure on NASAA.

Todd &lt;a href="http://ria-law.com" rel="nofollow"&gt;www.ria-law.com&lt;/a&gt;

Thanks for the kind words. In fact, I did get a copy of the agreement between the state regulators. I’ll have it up on the RIABiz site on Tuesday. I’m planning on covering NASAA’s conference late next month — where the switch is sure to be the number one agenda item.

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation

Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

MarketCounsel

RIA IN A BOX

NASAA

Denise Voigt Crawford

David Tittsworth

Zachary Gronich

Dan Bernstein

Patricia Struck

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

It could impose most on advisors spread out across multiple states

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation

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November 29, 2018 at 11:54 PM

Todd E. Schwartz

Elizabeth MacBride

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