Financial Planning Regulated?

Williams, Rebecca C.
December 2000
Advisor Today;Dec2000, Vol. 95 Issue 12, p50
Trade Publication
Presents information on several definitions of financial planners as well as the regulations governing their activities in the United States (U.S.). Guidelines that help determine where an investment advisor must register; Types of people or entities excluded from regulation; Individuals that are exempt from registration with the U.S. Securities and Exchange Commission.


Related Articles

  • Vetting planners. Brindley, David // U.S. News & World Report;07/14/97, Vol. 123 Issue 2, p59 

    Discusses the possible consequences of the decision by the Securities and Exchange Commission to hand authority over financial planners over to the states. The protection that will be provided; Comments from Neal Sullivan of the North American Securities Administrators Association (NASAA).

  • SEC Wants Private Investment Advisers to Register. Gaetano, Chris // Trusted Professional;1/1/2011, Vol. 14 Issue 1, p6 

    The article offers information on the proposed investment advisers rule of the Securities and Exchange Commission (SEC), that urges investment advisers to register with SEC, in New York.

  • Risky Business. Vessenes, Katherine // Financial Planning;Aug99, Vol. 29 Issue 8, p165 

    Provides answers to questions regarding investment advisers. Strategy of the United States Securities and Exchange Commission to determine who has to register as an investment adviser; Questions to be asked from financial consultant before hiring.

  • SEC Calling. Fisher, Ken // Financial Planning;Aug2009, Vol. 39 Issue 8, p57 

    The article talks about the plan of the U.S. Securities and Exchange Commission (SEC) to contact clients directly which affects dually registered companies. The author rejects the claim of some advisors that contacting clients only scares them. He advises registered investment advisors (RIAs) to...

  • SEC Cautions Investors Over VAs. Winograd, Jeffrey L. // Financial Planning;Jul2000, Vol. 30 Issue 7, p28 

    Reports that the United States Securities and Exchange Commission has cautioned investors of their financial professional when considering several aspects of variable annuities (VA) as an investment tool. Tax considerations on individual retirement accounts; Exchanges of VA; Disadvantage of VA...

  • In Their Own Words. Veres, Bob // Financial Planning;May2010, Vol. 40 Issue 5, p27 

    The article focuses on the plan of the U.S. Securities and Exchange Commission (SEC) to study whether it is necessary to hold advisors to a fiduciary standard. The author explains that the brokerage industry feels threatened by the concept of fiduciary regulation. He also claims that real...

  • Save 12b-1 Fees. Auld, Jeff // Financial Planning;Oct2007, Vol. 37 Issue 10, p160 

    The author talks about the possible removal of the 12b-1 fees by the U.S. Securities & Exchange Commission (SEC). According to the author, if SEC removes 12b-1 it would just be replaced by investment advisory fees. The author states that clients will suffer once the fees are removed. The author...

  • False Fiduciaries. Veres, Bob // Financial Planning;May2006, Vol. 36 Issue 5, p37 

    This article reports on the ruling of the U.S. Securities and Exchange Commission (SEC) with regards to the identification of financial advisers from brokers. The agency modification of the Merrill Lynch Rule called Broker-Dealers Deemed Not To Be Investment Advisers stated that brokerages...

  • The Wrong Direction. VERES, BOB // Financial Planning;Feb2009, Vol. 39 Issue 2, p27 

    The author comments on the appointment of Mary Schapiro as the new chairperson of the U.S. Securities and Exchange Commission. He views Schapiro's appointment as the worst possible news for financial planners who embrace fiduciary standards and put the interests of clients ahead of their own. He...


Read the Article


Sign out of this library

Other Topics