September-October 2010

Clearing It Up

Custodians and clearing firms:  It’s a whole new ball game for the retirement plan RIA

Decisions, Decisions

How did you decide whether to affiliate with a wirehouse, or independent or regional broker/dealer?

Taking Aim

New ERISA 408(b)(2) rules take a new look at adviser fees, but how that examination will affect you depends on what kind of adviser you are

Talking Points

Tired of giving the same old presentations? Use these nuggets of information to spruce them up.

What You Need To Know About YouTube

When most people think of YouTube, they envision comedic homemade videos, sports clips, or excerpts from television shows, but the popular Web site,, also can be a business tool that 401(k) advisers can use for prospecting, researching, and even networking purposes.