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Behavioral Finance
Win the day
This piece is approved to use with clients.
As a child, my father (himself a financial advisor) had a single obsession—paying off our house.
Regulatory Education
Switching hats in a post-regulation best interest world
With the adoption of Regulation Best Interest (Reg BI), the US Securities and Exchange Commission (SEC) is imposing an enhanced standard of conduct on broker-dealers and their associated persons when making recommendations to retail customers.
Regulatory Education
Thought Leadership Report: Enforcement and Litigation Risks
This article provides a high-level overview of how the SEC enforces the federal securities laws and the rules thereunder, and the enforcement and litigation risks presented by the rulemaking package.
Client Relationships
The Generations Project: Strengthening Conversations
Our survey demonstrates the importance of having clear conversations with clients about goals for their finances and their families and thereby realizing Greater Possibilities Together.
Regulatory Education
Thought Leadership Report: The New SEC Standards
This article provides a high-level summary of the rulemaking package and explores its implications for registered investment advisors and dual registrants.
Behavioral Finance
Keeping Emotions in Check – A Historical Guide to Market Volatility
This piece is approved to use with clients.
One of the biggest challenges in investing is to stay focused and on course. Investors must look at the markets from a historical perspective for broader context, and to better understand why it is important to stay the course during both calm and perilous markets.
Philanthropy
Investor Education: Learn About Charitable Giving
This piece is approved to use with clients.
Use this practical guide to complement discussions you have with clients about philanthropy.
Philanthropy
Charitable Giving: Three Steps to a Successful Plan
This Vanguard research paper examines the advantages and disadvantages of common charitable giving strategies, and it presents examples to show their effects.
Client Relationships
Client Discussion Guides
These value-add worksheets from BlackRock help increase engagement between an advisor and their clients.