TITLE

"A genuine FPA success story"

PUB. DATE
January 2005
SOURCE
Journal of Financial Planning;Jan2005 Supplement, Vol. 18, p20
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article discusses a story that was told to the author regarding the decision by the National Association of Securities Dealers (NASD) dealing with negative consent letters. Neal Solomon, of Solomon Associates in Gloversville, New York, had just returned to the United States when he first received the news that the decision had been made. He quickly realized how much work and money would be needed to undertake an upgrade project. He quickly contacted several members of the Financial Planning Association's Government Relations Committee who were able to help him. After two weeks, he was able to visit the NASD's general council and eventually got them to reverse the decision.
ACCESSION #
22779327

 

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