TITLE

Paving the Way

AUTHOR(S)
Opiela, Nancy
PUB. DATE
September 2007
SOURCE
Journal of Financial Planning;Sep2007, Vol. 20 Issue 9, p26
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
This article discusses the changes being made in rulings and standards to improve the world of financial advising for consumers. The federal appeals court of the U.S. Securities and Exchange Commission Rule 202 allows registered representatives to offer fee-based brokerage accounts while treating investment advice as incidental. Also, the Standards of Professional Conduct have been revised by the board of directors of the Certified Financial Planner Board (CFP) of Standards, which now requires a CFP official to always place the interest of the clients ahead of their own.
ACCESSION #
26475366

 

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