1. This week Alex sits down with Aaron Thompson to discuss a new FINRA proposed regulation regarding broker-dealer disclosure upon firm relocation. Their discussion will include conflict of interest, procedures, investment insight and industry feedback.

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  2. Alan Krenke, formally of Strong Financial, swings by to discuss a Forbes article entitled “Investors Are Not Dumb, Just Horrible at Market Timing.” Today's episode reflects on this article and touches on consumer’s financial literacy and how our educational systems have not prepped investors for the unruly market. Also discussed is how training in higher education can at times make the unaware confident in managing their own portfolios, when additional targeting product training is required. Alex and Alan also discuss knowing your limits and asking the right questions to the right professional, and public tips to manage your investments.

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  3. This week Jennifer Greene stops by to discuss the effects FINRA will have on Registered Investment Advisors by allowing them use of their Arbitration Forums. Alex and Jennifer also take a moment to note FINRA's Disaster Exemptions and deadline allowances for Broker-Dealers affected by Hurricane Sandy.

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  4. This week Alex sits with Aaron Thompson to discuss the FINRA Exam Priorities of 2012, based upon the speech given by Susan Axelrod of Sales Practice Enforcement. This speech, given at the Practicing Law Institute B/D Conference, demonstrates the progress FINRA is making on a risk-based model. This overview covers the 2012 initiates that have been stressed earlier in the year. This progress includes FINRA's focus on being risk-based rather than checklist oriented, the addition of the OATS transaction Data model and the successful practice of the Know Your Customer and Suitability Rules. Also noted is a snapshot of the next twenty months. Some things to keep front of mind are the leveraging of complex products, cyber security, conflicts of interest and the pitfalls of cutting costs. Aaron also takes a moment to discuss IT control Best Practices.

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  5. This week Alex sits down with Jennifer Greene to discuss the NAPFA’s most recent announcement to only accept the Certified Financial Planner designation for those applying to be NAPFA-registered financial advisors. The duo will touch on how this adjustment will impact NAPFA members and why the alteration comes at an interesting time. Jennifer will also discuss the outcome of the CFP Board’s proposal to increase the continuing education requirements to 40 hours, from 30.

    # vimeo.com/55363477 Uploaded 28 Plays 0 Comments

The Compliance Digest

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Industry leaders sit down and discuss hot topics in the financial services industry. Topics may include FINRA best practices, SEC rule overviews, insurance administration best practices, RIA, B/D or designation training best practices, NAIC regulation…


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Industry leaders sit down and discuss hot topics in the financial services industry. Topics may include FINRA best practices, SEC rule overviews, insurance administration best practices, RIA, B/D or designation training best practices, NAIC regulation changes or government regulatory updates.

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