Advisor Solutions - Volume 2 Issue 2 Supplement - SCover2

2010 ComplianCe insights
This year will bring regulatory changes and potential reforms in financial services regulation. TD AMERITRADE Institutional understands the value of understanding the trends that lie ahead, and the necessity of being prepared for the challenges to come. This guide is designed to keep you informed about the changes on the regulatory landscape, so that you can run your business as efficiently as possible.

Contents
01
A Look Ahead at the Regulatory Landscape
Compliance and regulatory experts give their views on the outlook for advisory exams and industry regulatory reform.

05 06 08

Don’t Neglect Sub-Advisor Reviews
Even established relationships need to be reviewed annually to satisfy regulators.

03

Update on Retirement Plan Advice Rules
Congress and the Department of Labor take up the debate around fiduciary standards.

The Explosion of Social Media
The importance of developing policies and procedures to head off potential compliance issues.

Steer Clear of ERISA Potholes
Complex rules create navigational challenges.

For Investment Professional Use Only

Advisor Solutions - Volume 2 Issue 2 Supplement

Table of Contents for the Digital Edition of Advisor Solutions - Volume 2 Issue 2 Supplement