Draft Bill Calling for SRO for Advisors Introduced in House
The House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.
Top 4 Dodd-Frank Concerns as Law Enters Second Year
For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.
Dodd-Frank: FPA, CFP Board Say Much 'Still in Play' for Advisors
FPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank
Financial Planning Coalition Tells Congress to Support Fiduciary Duty
Coalition also wants Congress to fund the SEC so it can fulfill its responsibilities.
At TD Ameritrade Conference, Differing Views on Implementing Fiduciary Standard
Panel of opinionated experts provides insight, suggest likely next steps for SEC studies.
As Fiduciary, SRO Reports Loom, Financial Planning Coalition Airs Worries
Next week is a crucial one for advisors as three reports mandated under Dodd-Frank will be handed to Congress—the SEC will deliver its studies on the need for a SRO for advisors on Jan. 17 and fiduciary duty on Jan. 21, while the GAO will deliver its study on regulation...
Timing Is Everything: The CFP Board’s Ad Campaign, and Higher Fees
Bob Clark is schooled on the CFP Board's bid to raise dues on certificants by Marilyn Mohrman-Gillis of the Board.
At FPA Denver, CFP Leadership Describes Consumer Branding Campaign
Leaders of the Certified Financial Planner Board of Standards met with the editorial staff of AdvisorOne on Monday to discuss the organization's national consumer advertising campaign.
The Empire Steps Up
Readers of this column know I haven't been a big fan of the CFP Board and its leadership of the Financial Planning Coalition during Washington's...
Reform--and Fiduciary--Not Dead, Yet
As the financial reform bill continues to work its way through the process of reconciling the Senate and House versions, the fiduciary duty for all...