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  • 2014 RIA Compliance: 23 Questions From Advisors And Answers

  • Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors

  • Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs

  • Bachus Backtracks After Democrats Introduce Bill Saying SEC Should Regulate RIAs; A Surprising Turn Of Events But Debate Will Likely Drag Into 2013

  • Compliance Continuing Ed For RIAs

  • Considering Moving To The Cloud? You'll Get Practical Tips From Today's Webinar Session And Maybe Some Controversy

  • Deadline For Switch To State Regulation Is Extended

  • Disputes Over Axys Performance Numbers No Excuse For Fudging Client Reports, SEC Says

  • Does CFP Board’s Suggested Disclosure For Form ADV Mislead Consumers About Whether Their Advisor Is A Fiduciary?

  • Draft House Bill Shows Congress Is Leaning Toward An RIA SRO

  • Erado, An Advisor Products Compliance Partner, Named To Gartner’s “Cool Vendor” List

  • Financial Planning Coalition Calls On New SEC Chair To Focus On Fiduciary, Increase Oversight Of Investment Advisers

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess

  • Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts

  • How RIAemail’s Automatic Email Encryption Works

  • In A Show Of How The SEC Is Tightening RIA Compliance, A Chicago Advisor Is Barred From Securities Business

  • Mark Spangler Indicted On 23 Counts Of Fraud And Money Laundering; Government Seeks $41.7 Million

  • Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice

  • News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule

  • RIA Fires Google Apps After Google Notifies Advisor Of A 15-Month Failure In Gmail's Archiving System; Gmail Archiver Accidentally Deleted Messages It Was Supposed To Retain

  • RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted

  • SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013

  • Social Media Adoption By RIAs and Broker/Dealers

  • Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals Face From Unregulated Use Of Twitter, Facebook, And LinkedIn

  • Twitter Has Started Rolling Out The Option To Download All Your Tweets

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A4A is a news and professional education solution for a fiduciary who:

 

--  holds a CFP®, CIMA®, CPA, CPA/PFS, CFA or other designation requiring CE annually  

--  values research by Fritz Meyer, Craig Israelsen, Bob Keebler or Andy Gluck

--  broadly diversifies a core of client portfolios in low-expense funds

--  strategically invests based on MPT and economic fundamentals

--  advises on tax and financial planning as well as investing

--  is building a brand as a thought leader locally or in a niche

--  values thought leadership when bad news breaks

--  wants CE aligned with Advisor Products client education platform

--  wants 24/7 CE with objective financial, tax and investment planning news analysis    

 

A4A is accredited by the CFP Board, IWI, and NASBA.  

 

 

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