January 2000
Journal of Financial Planning;Jan2000, Vol. 13 Issue 1, p22
Academic Journal
This article reports that the U.S. State securities commissioners are beginning to adopt an expanded Series 65 exam that includes competency elements testing an adviser's knowledge of the securities markets. In December 1999, Texas became the first major state to adopt the new exam and waivers for the certified financial planner (CFP), certified financial advisor, ChFC, PFS and CIC designations. A number of other states also have adopted the new exam and CFP waivers, including Alaska, Arizona, Connecticut, Indiana, Mississippi and Wisconsin. The Financial Planning Association (FPA) has learned that a small number of states do not intend to adopt the waiver recommendations by NASAA, and the FPA is planning to urge such states to adopt the model rule.


Related Articles

  • ICFP Organizes Series 65 Waiver Campaign.  // Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p73 

    This article reports on the efforts of the Institute of Certified Financial Planners Government Relations Department to distribute information kits to societies in preparation for a new competency exam that will be adopted in 1999 by many state securities regulators in the U.S. The new Series 65...

  • "CLIENT'S INTEREST FIRST" DISCLAIMER CRITICIZED.  // Practical Accountant;Nov2006, Vol. 39 Issue 11, p16 

    The article reports on the comments of Financial Planning Association President Daniel Moisand on the proposed changes on the Code of Ethics and Professional Responsibility. Moisand said the proposed changes will just weaken the consumer protections for the 51,000 certificants who hold financial...

  • Money Management Earning their keep.  // Money Management;10/30/2008, Vol. 22 Issue 41, p12 

    The author reflects on the benefits of seeking the services of financial advisers. He cites that with the current economic instability in Australia, financial advisers have been a great help to many investors. He commented on the argument that the value of a financial adviser should not be on...

  • RAND Report Under Review.  // CPA Wealth Provider;Apr2008, p4 

    The article announces the availability of RAND Corporation's final report "Investor and Industry Perspectives on Investment Advisers and Brokers/Dealers" on the Web site of the U.S. Securities and Exchange Commission (SEC). Chairman Christopher Cox said that the SEC will use the report as...

  • In Europe,Watchdog Wants More Data. Kentouris, Chris // Money Management Executive;8/1/2011, Vol. 19 Issue 31, p1 

    The article reports on the plan of the European Securities and Markets Authority (ESMA) to implement the Alternative Investment Funds Managers Directive (AIFMD) on hedge funds in Europe. It reveals that ESMA aims to create a category of funds that would come under the guidelines of the...

  • Momentum Mori. Zweig, Jason // Money;May2003, Vol. 32 Issue 5, p63 

    In March, 2003 the erstwhile star stock picker Garrett Van Wagoner gave up and liquidated three of his funds--Van Wagoner Post Venture, Mid-Cap Growth and Technology--which over three years had each fallen by more than 90%. (His biggest remaining fund, Emerging Growth, is down 92%; its assets...

  • Fund Risk Profiling. Morse, Phil // Money Marketing;3/14/2013 Risk Matters Supplement, p14 

    The article reports on things expected from a financial adviser that are clarified by the Centralised Investment Process (CIP) paper published in July 2012. It states that investors should be clear that the risk profile provided is not a guarantee of capital security or a level of performance....

  • FUND MANAGERS DIARY. Hall, Mark // Fund Strategy;12/12/2005, p30 

    The article presents the author's work schedule for a week. Being a fund manager, the author has a busy schedule through out the weekdays. On Monday, the author spends his morning talking with brokers and attending several meetings of the company. On Tuesday, he decides the matter of holding in...

  • Ingot we trust: Are gold equities worth their weight? Yarker, Jon // Money Marketing (Online Edition);9/26/2013, p60 

    The author comments on the benefits of holding on to gold equities. He says that stronger management could mark gold equities as an opportunity, if investors can bear with the volatility. The price of gold dropped to 1191.21 dollars an ounce in June 2013, the lowest price since August 2010....


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics