How Do Planners Regard Regulation?

Powell, III, Robert J.
December 2008
Journal of Financial Planning;Dec2008, Vol. 21 Issue 12, Special section p10
Academic Journal
This article discusses the results of a survey of Financial Planning Association (FPA) members, assessing who should regulate the financial planning industry. The proposed development of a regulatory regime for financial planners in the U.S. under a self-regulatory organization (SRO) governed by the Certified Financial Planner (CFP) Board of Standards. Alternative proposals that would assign regulatory responsibilities to the U.S. Securities & Exchange Commission or the Financial Industry Regulatory Authority (FINRA) are considered. Issues relating to the availability of information about individual financial planners are addressed. Regulations relating to the portability of client data among financial planners who change jobs are also assessed.


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