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Summary: Since I started writing this column four years ago, I’ve been assigned to deal with the journey of a younger financial planner. While most of my columns have focused on this topic, sometimes I have discussed subjects that are often avoided.
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Summary: Securities and Exchange Commission officials addressed enforcement priorities at the agency, including cybersecurity, insider trading and financial reporting, in a panel discussion at the Rocky Mountain Securities Conference in May. The conference is co-sponsored by the SEC and the Business Law Section of the Colorado Bar Association.
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Summary: Go to any seminar on marketing and one of the top suggestions on becoming an elite adviser is to develop a niche. Doctors, airline pilots, teachers, golf nuts, tech employees – the niche possibilities are endless. Having a niche can create efficiency, simplify marketing and make you an expert in the eyes of a well-defined cohort. But is a niche based on what people do – and not who they are – really a wise choice?
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Summary: As robo technology proliferates and evolves, regulators are keeping pace – and firms and advisers making use of such tools will have to follow suit, industry executives say.
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Summary: I’ve decided to leave my broker-dealer and start my own investment advisory company. I’m not ready to let my firm know, as I’ve heard it can take several months to get approved and I’m pretty sure they’ll terminate me once I tell them. However, I’m worried that, if I don’t tell them, they will mark up my U5 by saying I failed to advise them that I was engaging in an outside business activity. Can I begin to register as an RIA without letting my firm know?
