email communications

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  SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2012

  FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.

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  Are Clients Deleting Your Emails?

  By Gil Weinreich, AdvisorOne  |  September 21, 2012

  You may be the savviest financial advisor in your community, but can you command attention through an effectively written email or blog post?

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  Books and Records Rule

  By Les Abromovitz  |  January 1, 2012

  Thorough and complete books and records enable RIAs to demonstrate that they have fulfilled their fiduciary obligations to clients and complied with applicable rules and regulations.

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  Fixing the 3 Top Mistakes Advisors Tend to Make With Their Clients

  By Liz Davidson, Financial Finesse  |  December 20, 2011

  Are you enabling your clients to focus on the wrong measures of satisfaction with you and what you offer them? Three common mistakes, and how to ameliorate them for your benefit and your clients'.