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Fw: SEC Exam Chief Sends Warning on Wrap Accounts

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From: ThinkAdvisor Compliance Watch <admin@enews.sbmedianews.com>

Date: Fri, 26 Sep 2014 11:18:29 -0400

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Subject: SEC Exam Chief Sends Warning on Wrap Accounts

View this in your browser   The Lead September 26, 2014 SEC Exam Chief Sends Warning on Wrap Accounts The trades and extra client fees often aren't disclosed properly to clients, OCIE's Andrew Bowden said at CFA conference. Read more Featured News State-Registered Advisors Prep for New Succession Planning Rules State-registered advisors should act now to prepare for NASAA's upcoming rules requiring business continuity and succession plans, state regulators say. Read more IRS Warns of FATCA Phishing Scams Scam artists posing as the IRS have fraudulently solicited account holder identity and financial account information. Read more Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster? Law firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients’ cybersecurity policies withstand regulatory scrutiny. Read more Advertisement Need more touch points with your clients? Add to your marketing efforts by giving clients FREE investor fact sheets from popular investing sectors. SEC Enforcement: Flurry of Charges Over Phony Health Food Company Meanwhile, Silicon Valley-based Saba Software and two of its former executives were charged with a fraudulent accounting scheme. Read more Featured Commentary Anti-Money Laundering and Advisors: SEC Compliance vs. Best Practices By Chris Stanley Yes, technically there is no requirement imposed upon investment advisors to maintain an anti-money laundering program, but try telling that to your SEC examiner. Read more     Connect with us More eNewsletters Get the best of ThinkAdvisor, from proven market updates and news, the best in portfolio construction, wealth management, and retirement plans. Check out the ThinkAdvisor eNewsletters now Think Community Join ThinkAdvisor for free today.     You have received this email at mainandwall@comcast.net. Click here to unsubscribe from Compliance Watch. Privacy Policy | Advertise | eNewsletters | Magazines   Summit Professional Networks 4157 Olympic Blvd, Suite 225 Erlanger, KY 41018 1-800-543-0874

Fw: Why do RIAs Choose Their Profession?

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From: ThinkAdvisor Early Wire <admin@enews.sbmedianews.com>

Date: Fri, 26 Sep 2014 08:00:00 -0400

To: <mainandwall@gmail.com>

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Subject: Why do RIAs Choose Their Profession?

View this in your browser   MORNING BRIEFING September 26, 2014 Why do RIAs Choose Their Profession? The ability to grow and the potential for a healthy work-life balance draw many to the RIA industry, Schwab Advisor Services found. Read more Retirement Income Experts Convene at IRI Conference Political analyst Stuart Rothenberg will discuss the current political landscape of the retirement industry. Read more   You have received this email at mainandwall@gmail.com. Click here to unsubscribe from Early Wire. Privacy Policy | Advertise | eNewsletters | Magazines Summit Professional Networks 4157 Olympic Blvd, Suite 225 Erlanger, KY 41018 1-800-543-0874

Fw: The Big Picture

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From: Barry Ritholtz <newsletter.ritholtz@gmail.com>

Sender: "Barry Ritholtz" <newsletter.ritholtz=gmail.com@mail24.atl91.mcsv.net>

Date: Thu, 25 Sep 2014 23:02:34 +0000

To: <mainandwall@hotmail.com>

ReplyTo: Barry Ritholtz <newsletter.ritholtz@gmail.com>

Subject: The Big Picture

The latest from The Big Picture View this email in your browser The Big Picture Macro Perspective on the Capital Markets, Economy, Geopolitics, Technology, and Digital Media In the 09/25/2014 edition: TEDMed: Dr. Carl Hart & NeuroScience of Addiction NFL Crimes: 2000 to Present Flooding Risk From Climate Change, Country by Country Analyzing Dips in the S&P's Path 10 Thursday AM Reads Life Magazine: "The public is investing in the stock market" The Money Multiplier — A Rite of Passage for the Wrong Reason A Simple General Equilibrium Model of Large Excess Reserves Excerpts: TEDMed: Dr. Carl Hart & NeuroScience of Addiction 1)The impact of drug hysteria on drug laws 2)Why Science is critical to creating drug policy Dr Carl Hart’s talk at TEDMED2014. Read on » NFL Crimes: 2000 to Present Source: High Rank Websites Read on » Flooding Risk From Climate Change, Country by Country Click for interactivity and such. Source: The Upshot Read on » Analyzing Dips in the S&P's Path Bloomberg's Michael Regan reports on stock market fluctuations and what they mean for investors. Source: Bloomberg, Sept. 25 2014 Read on » 10 Thursday AM Reads Happy New Year! I am out atoning for my sins — of which there are many — but don't you commit the sin to miss our morning reads: • When you're investing in a company, you're really investing in human ingenuity (Crossing Wall Street) see also Betting on commodities like gold is often a bearish bet...Read More Read on » Life Magazine: "The public is investing in the stock market" Life Magazine circa September 1958: LIFE Magazine highlights a strange new phenomenon: The public is investing in the stock market as never before. “On the average,” reports LIFE, “500,000 new customers a year have been getting into the market and 8.6 million Americans now own some kind of common or preferred stock…. To an extent...Read More Read on » The Money Multiplier — A Rite of Passage for the Wrong Reason The last time I taught college-level Money and Banking, over five years ago, the textbook I was  coerced into assigning (but didn't use) still had a section on the mechanics of how the banking system in a fractional-reserve regime could expand deposits (a component of "money") by some multiple of cash reserves provided by the central bank. The Federal Reserve...Read More Read on » A Simple General Equilibrium Model of Large Excess Reserves Read on » Copyright © 2014 The Big Picture, All rights reserved. You are receiving this email because you opted in at ritholtz.com Our mailing address is: The Big Picture 535 Fifth Avenue New York, NY 10017 Add us to your address book unsubscribe from this list    update subscription preferences

Fw: Einstein's "Time Dilation" Prediction Verified

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From: Scientific American Weekly Review <news@email.scientificamerican.com>

Date: Wed, 24 Sep 2014 17:03:56 +0000 (GMT)

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ReplyTo: news@email.scientificamerican.com

Subject: Einstein's "Time Dilation" Prediction Verified

Experiments at a particle accelerator have confirmed the "time dilation" effect predicted by Albert Einstein's special theory of relativity

To view this email as a web page, go here. You received this email because you opted-in to receive email from Scientific American. To ensure delivery please add news@email.scientificamerican.com to your address book. The Weekly Review September 24, 2014 FEATURED THIS WEEK Einstein's "Time Dilation" Prediction Verified Read More Top Stories ChemistryWorld More Science New Steps Shown Toward Creation of Life by Electric Charge Simulating a famous experiment to produce life's building blocks by jolting molecules with electricity, scientists may have found a strange new intermediate state News More Science Quantum Entanglement Creates New State of Matter Half a million ultracold atoms were linked together in the first-ever “macroscopic spin singlet” state News Health White House Unveils Strategy to Combat Antibiotic Resistance A new science advisory panel assessment sparks executive actions to tamp down the threat of a future without lifesaving drugs Scientific American October 2014 Featured Products from Scientific American Virtual Course Fermilab's Don Lincoln offers an inside look at the Higgs boson discovery and exciting new research in particle physics. Secrets of the Universe This special edition presents recent discoveries and theories that explain many mysteries of the universe. Multimedia Big Bang Gravitational Waves: True or Not? [Video] How Nations Fare in PhDs by Sex [Interactive] More Multimedia » Advertisement More Stories Scientific American Volume 311, Issue 4 How Diversity Makes Us Smarter Nature Sugar Substitutes Linked to Obesity Scientific American Volume 311, Issue 4 A Surprising Time-of-Death Tool News Science Shows Up in Force at People's Climate March Climatewire Cars Will Cook the Planet Absent Shift to Public Transportation News World Should Prepare for 11 Billion or More People Scientific American Mind Volume 25, Issue 5 Can Marijuana Cause Psychosis? Running Ponies Giant African Rats Detect Land Mines and TB for a Living News Hubble Telescope Time Preferentially Goes to Men Scientific American Mind Volume 25, Issue 5 Gut Bacteria May Play a Role in Autism Scientific American Volume 311, Issue 4 Diversity in Science: Why It Is Essential for Excellence Cross-Check New Report on Chimp Violence Fails to Support Deep-Roots Theory of War Scientific American Volume 311, Issue 4 Anomalous Events That Can Shake One’s Skepticism to the Core Podcasts 60-Second Science Dino Devastator Also Ravaged Veggies After the Chicxulub meteorite, more than half the plant species in temperate North America perished along with the dinosaurs, and the composition of post-impact vegetation changed markedly. Christopher Intagliata reports 60-Second Earth People Power Takes Aim at Climate Change Participlants in the People's Climate March in New York City September 21st hope to persuade world leaders at the U.N. Climate Summit that follows. David Biello reports 60-Second Science Genius Grant Goes to Science Historian New MacArthur Fellow Pamela Long studies the scientific revolution as a result of the interactions of academics and hands-on infrastructure engineers in the 15th and 16th centuries. Steve Mirsky reports 60-Second Tech Jetpack Keeps You Grounded but Faster Mini-jet backpack for runners could help military personnel and others get home faster. Larry Greenemeier reports 60-Second Science I Got Rhythm, I Got Reading Kids who could keep a beat had superior skills related to reading and language than did those whose rhythm strayed. Cynthia Graber reports Advertisement Unsubscribe | Manage Email Preferences | FAQs | Terms & Conditions | Privacy Policy | Contact Us | Forward to a Friend This message was sent to: mainandwall@aol.com Check out our New Products! Scientific American 75 Varick St New York, NY, 10013 Scientific American is a trademark of Scientific American, Inc., used with permission © 2014 Scientific American, a division of Nature America, Inc.

Tweet from @researchpuzzler

@researchpuzzler: the investment world is like this until it isn't http://bit.ly/1ypFnky thanks to @farnamstreet for the inspiration


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Fw: Another wrap to launch white label DIY service for advisers & Nationwide resumes Help to Buy

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From: "FTAdviser" <FTAdviser@ftmail.ft.com>

Date: Tue, 23 Sep 2014 16:37:07 +0100

To: <mainandwall@gmail.com>

ReplyTo: "FTAdviser" <FTAdviser@ftmail.ft.com>

Subject: Another wrap to launch white label DIY service for advisers & Nationwide resumes Help to Buy

Afternoon Bulletin

Another wrap to launch white label DIY service for advisers     Nationwide resumes Help to Buy access     Miliband: We must break up the big banks     Adviser Rant Choices are limited for this Standard Life member     Ashton Bradbury to leave Old Mutual at the end of the year     CML urges gov't to include mortgages in guidance guarantee     L&G upgrades critical illness to remain 'competitive'     Mis-selling fears over 'unregulated' pension lump sums     Special Report Alternative Investments (60 CPD mins!)     Stonehaven increases lifetime mortgage loan to £4m

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