Articles tagged "CFP Board"
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Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million
March 10, 2011 at 5:37 AM
GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes
January 19, 2011 at 3:51 PM
Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance
January 14, 2011 at 3:05 PM
Testy words pass between advisors and regulatory panelists at MarketCounsel conference
RIAs are shocked by how bad things have gotten in Washington
November 19, 2010 at 7:30 AM
Eavesdropping on the FPA conference: a speech about scared investors resonates; and an embittered advisor speaks up
Plus, a top expert offers the next level of advice on social media
October 12, 2010 at 5:48 AM
The industry's largest association has plenty at stake at its annual conference this weekend
After a trying two years in which it lost a chunk of its membership and angered others with unpopular stands, FPA is reminding advisors of its benefits
October 6, 2010 at 4:28 AM
Fidelity study reveals greater reliance on advisors to manage the college savings vs. nest egg vice grip
RIAs steer parents clear of the high-fee 529-plan bandwagon
September 10, 2010 at 4:18 AM
Old foes in the fiduciary debate join new battle to sway SEC's six-month study
Advocates were working down to the wire to submit comments by the end of yesterday
August 31, 2010 at 5:31 AM
Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer
March 19, 2010 at 7:32 PM
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
March 10, 2010 at 9:46 AM
Financial advisors cross the CFP's ethical line when they play pychotherapist, study says
Questions are raised about whether advisors have enough training
