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Registered Rep.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?   |
Registered Rep.
October 1, 2002
Andre Cappon |
The Pygmalion Effect: The Branch Manager Sets the Tone Why are some brokerage offices within the same network consistently profitable while others are consistently unprofitable? |
Registered Rep.
October 1, 2002
Ruth Halcomb |
Think Beyond the Needs of Ozzie and Harriet Families Less than 25 percent of U.S. households consist of married heterosexual couples with kids. The rights to property or even custody of children in the case of unmarried couples is anything but clear under the law. Tax planning is also an issue. |
Registered Rep.
October 1, 2002
William Atkinson |
Vexing Questions From Your Clients --- And How to Answer Them How financial advisers should respond to common questions about current market conditions: impact of accounting scandals, linking of market and economy, when the market will turn around. |
Registered Rep.
October 1, 2002
Kevin McKinley |
Where There's No Will, There's a Way to Bring in Business Financial advisers can improve their relationship with the client by aiding in the creation or updating of a will. |
Finance & Development
September 1, 2002
Nsouli & Schaechter |
Challenges of the "E-Banking Revolution" Electronic banking is the wave of the future. It provides enormous benefits to consumers in terms of the ease and cost of transactions. But it also poses new challenges for country authorities in regulating and supervising the financial system and in macroeconomic policy. |
Trusts & Estates
September 30, 2002
Al W. King III |
Freezers -- Our Future Coffins? Enough people are attracted to cryonics that wealth management advisors should learn to discuss it with a straight face. It is, after all, primarily the affluent who can afford to have themselves frozen in the hopes of living again. |
Trusts & Estates
September 30, 2002
Susan Hansen |
Beware the 529 Hype At least two things are certain about the new 529 college savings plans: The financial services industry loves them, and they're generating all kinds of media buzz. But despite all the hype, 529s probably are not a magic new wealth-transfer mechanism. |
OCC Bulletin
September 24, 2002 |
Debt Cancellation Contracts and Debt Suspension Agreements The purpose of this final rule is to establish standards governing Debt Cancellation Contracts and Debt Suspension Agreements in order to ensure that national banks provide such products consistent with safe and sound banking practices and subject to appropriate consumer protections. |
Registered Rep.
September 27, 2002
David A. Gaffen |
Bear Market Crushing Transaction Brokers Top advisors have been making the transition to the fee-based, "wealth management" style of advisory. But surveys have shown that many brokers remained resistant to the fee-based concept. |
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