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.
When Older Clients Falter: Mary Malgoire on Advisors’ Role
Advisors may be the first to see signs of mental decline in older clients. Mary Malgoire, founder of The Family Firm, an advisory firm in Bethesda, Md., has given this issue a great deal of thought.
NAPFA Names Top 30 Influencers
The "30 Most Influential" program recognizes NAPFA members and staff who have made an impact on fee-only financial planning, the group and their peers since NAPFA’s 1983 founding.
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.
NAPFA Elects Linda Leitz as National Chairwoman
NAPFA tapped Leitz earlier than usual in the group's election cycle to add "continuity of leadership" as the group brings on a new CEO later in 2013.
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.
The Jaws of Defeat
Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.
Want Professional Standards, Advisors? Get an Exclusionary Rule
If you’re going to have professional standards, you have to be able to kick out folks who don’t meet them.