Don’t Flub Fiduciary Rule, Groups Urge SEC
A broad group of organizations fears the SEC is headed toward proposing a watered-down fiduciary rule.
The CFP Board’s CE Proposal: What’s Driving This Flawed Idea?
In the final post in a series, an exploration of what may be behind the CFP Board’s proposal to offer continuing education. Is it looking to compete with other planning associations?
House Passes SEC Cost-Benefit Bill
Planning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.
Why the CFP Board’s Proposal to Offer CE Is Wrong
In the first in a series of posts on the CFP Board’s proposal, an argument (from planners themselves) as to why it’s not a good idea and a look at the current, somewhat woeful, state of continuing education for CFPs.
FPA Makes Two Big Pushes in Washington
The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.
Good News, Bad News: Findings of the Financial Planning Coalition Survey
The findings of the Coalition survey of investors suggest some troubling undercurrents that the profession and the media should address.
NASAA to Push SEC User Fees, ‘Stay On Guard’ Against FINRA SRO
Chief among state securities regulators’ legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.
Ketchum’s Big SRO Omission
Richard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.
FINRA Shifts SRO Fight to Senate, as House Effort Falters
With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
Kitces on Top 3 Topics for Advisors in 2013—Topic 1: Fiduciary and SRO
First up in an intense year for advisor regulation: movement from the DOL on its fiduciary rule.