The article below appeared as Tom Giachetti’s Compliance Coach column for Investment Advisor’s February 2013 issue. But speaking at the TD Ameritrade annual conference Jan. 31 in San Diego, Mr. Giachetti provided some additional color on how advisors—specifically RIAs—can stay compliant. “Compliance is all about getting you through the exams” of SEC and state examiners, and to do so, Giachetti said, “you have to know what questions” those examiners will be asking.

Wm Geiger – for more:  The 2013 Compliance To-Do List.