Ten Years Ago at the Institute

November 1999
Journal of Financial Planning;Nov99, Vol. 12 Issue 9, p21
Academic Journal
This article focuses on the opposition of the Institute of Certified Financial Planners (ICFP) to federal efforts on a self-regulatory organization (SRO) to examine registered investment advisers, as U.S. Congress introduced the Investment Adviser Self-Regulation Act Series1410 in the U.S. The ICFP viewed the bill being proposed that requires the SRO to set qualification and business practice standards, as difficult to do for such a diverse financial services community. ICPF executive director Robert P. Goss wrote to the Senate's Securities Subcommittee about the Institute's review on the proposed regulation.


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