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SEC Risk Alert Highlights Key Compliance Areas of Pending Market Conduct Rule

Washington Insights reviews the pending Market Conduct Rule by the Securities & Exchange Commission that goes into effect November 4, 2022, and recent compliance guidance from SEC staff.
READ MORE
 
 
Editors' Picks
 
 

Selections from IWI publications, podcasts, partners and more.
Any article containing a 🔒 is exclusive to members through The HIVE, the Institute's community for curated content and discussion. Explore The HIVE today!
 
 
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🔒 The Role and Use of Alternative Investments: A Discussion with Stephen Horan, PhD, CFA®, CIPM®, CAIA®, Brian Ullsperger, CIMA®, and Anthony B. Davidow, CIMA®
From the Investments & Wealth Monitor

The Basics of Estate Planning
Exceptional Advisor Podcast
 
 
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🔒 A New Asset Class: Investing in the Digital Asset Ecosystem
From the Investments & Wealth Monitor

Private Markets: Asset Allocation and Portfolio Construction
From the Investments & Wealth Monitor
 
 
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🔒 Longevity Risk: Plan For The Unknown
From the Investments & Wealth Monitor

How Prepared Are Americans for Retirement?
From Knowledge at Wharton, IWI Executive Education Partner
 
 
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🔒 Risk Fingerprint Forensics: A New Behavioral Tool to Better Understand and Meet Your Clients’ Needs
From the Investments & Wealth Monitor

Ask: How to Relate to Anyone w/Dan Solin
Exceptional Advisor Podcast

 
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🔒 Social Media: Making the Professional More Personal
From the Investments & Wealth Monitor

Solutions to Emerging Tax Problems in Retirement w/Waldean Wall
Exceptional Advisor Podcast
 
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🔒 The Secrets to Earning a Female Investor’s Trust—and Her Business
From the Investments & Wealth Monitor

Making the ‘Business Case for Diversity’ Can Backfire with Underrepresented Groups
From Yale Insights (Yale School of Management), IWI Executive Education Partner
 
 
Welcome Gift for Newly Upgraded Signature and Elite Members

IWI is sending our recently upgraded Signature and Elite members a complimentary gift! An email will be sent from Gifts for Good that includes a curated site where you can select a gift that best suits you or choose to make a charitable donation.

Are you a Basic member looking to upgrade your membership? Click here to upgrade through your online dashboard. All new Signature and Elite members should receive this redeemable offer from Gifts for Good within a few weeks of upgrading.
UPGRADE MY MEMBERSHIP
 
 
UPCOMING EVENTS + DEADLINES
 
 
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October 13 @ 4:30 p.m. ET

Emerging Markets—Supercharging the Next Wave of the World’s Digitization
Webinar
Sponsored by EMQQ
REGISTER NOW
 
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October 27 @ 4:30 p.m. ET

Part 2: Dividend Equity Strategies for Today’s U.S. and International Markets
Webinar
Sponsored by GQG Partners
REGISTER NOW
 
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November 29-December 1

Investments & Wealth Forum—New York City 2022, Managing Portfolio Risks

In-Person or On-Demand
LEARN MORE
 
 
PROFESSIONAL DEVELOPMENT TOOLBOX
 
 
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Certification Deadlines

There's still time in 2022 to get started on an Institute certification and be on your way to a designation before the end of the year.

  • Earn your CIMA® certification with Yale on your own schedule anytime
  • Earn your CPWA® certification with Chicago Booth by applying before December 1
  • Earn your RMA® certification with the Institute in about 4 months starting at anytime
LEARN MORE
 
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Behavioral Finance Resources

Looking for resources, insights and tools to broaden your behavioral finance knowledge and better support your clients? Check out our Behavioral Finance Week 2022 content and resources.
LEARN MORE
 
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Support the Investments & Wealth Foundation

The Investments & Wealth Foundation's mission is to accelerate career advancement of target professionals who are currently underrepresented in the profession, thereby fostering sustainable diversity within the financial advisor profession. Help us create a more diverse workforce within the financial advisor profession by making a gift to support scholarship assistance for CIMA®, CPWA®, and RMA® certificants.
MAKE A GIFT
 
 
INTRO TO CERTIFICATION WEBINARS
 
 
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October 21 @ 11 a.m. ET

An Overview of the CIMA® Certification
REGISTER NOW
 
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October 21 @ 12 p.m. ET

An Overview of the CPWA® Certification with guest speaker Jaleigh White, CPWA®, director, Baird Family Wealth
REGISTER NOW
 
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October 21 @ 1 p.m. ET

An Overview of the RMA® Certification with guest speaker Mike Kurz, CIMA®, CPWA®, CFP®, Institute program director
REGISTER NOW
 
 
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