ICFP IN THE STATES
- Rules & REGULATIONS. // Journal of Financial Planning;Apr96, Vol. 9 Issue 2, p94
This article focuses on proposals made by Financial/Investment Advisers Committee of the North American Securities Administrators Association Inc. (NASAA) about uniformity in regulations for minimizing registration requirements. For many years on Capitol Hill, the dreaded 'P' word (as in...
- New advisers to face NASAA entrance exams. Longo, Tracey // Financial Planning;Oct97, Vol. 27 Issue 10, p31
Reports on the North American Securities Administrators Association's plan to develop an entrance examination for financial advisers. Securities administrator Richard Cortese on the concern about advisers' knowledge of investments and financial planning; Plan for the state securities...
- How to Best Serve and Protect Your Senior Clients. Naylor, Chris // Wealth Channel Magazine;Fall2011, p128
The article offers suggestions to the financial services professionals in the U.S. to serve the unique needs of senior investors. It also mentions the efforts of Security and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and the North American Securities...
- What Financial Advisors Do. Weikart, Richard J. // Advisor Today;Jun2001, Vol. 96 Issue 6, p14
Addresses financial planning and advisor issues in the United States. Steps in financial planning; Services provided by financial advisors; Development of financial advising in the financial services industry.
- Observer. // Journal of Financial Planning;Jan2002, Vol. 15 Issue 1, p19
Focuses on the developments in financial planning industry in the United States as of January 2002. Effectiveness of investment decisions of financial planners; Increase in financial decisions among couples of affluent households; Factors affecting the wide disparity in average contribution...
- Using software in your practice. // Accounting Technology;Jan/Feb2000, Vol. 16 Issue 1, pSR-10
Focuses on financial planners' use of computer software in the United States. Development of a planning style before the purchase of a software; Need for software compatibility with Windows 95 or NT; Need for support from vendors.
- Advisor Input Sought in Looming Succession Plan Rules. Corbin, Kenneth // Financial-planning.com;9/24/2014, p1
Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.
- Survey Finds Little Consistency on Fee Disclosures. Manganaro, John // Plan Advisor News;2014, p103
The article offers information on a report from the North American Securities Administrators Association (NASAA) about how broker/dealers and other financial services providers disclose fee charges. The report showed a wide disparity in how they disclose fee charges. It has also argued that the...
- NET TOOLS. // Practical Accountant;Jun2000, Vol. 33 Issue 6, p28
Present two Web sites that offer information about finance and investments in the United States. American Bankruptcy Institute's site; Web site of the North American Securities Administrators' Administration.