TITLE

FPA White Paper to Look at Future Regulation of Planners

AUTHOR(S)
Thompson, Duane R.
PUB. DATE
October 2001
SOURCE
Journal of Financial Planning;Oct2001, Vol. 14 Issue 10, p34
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
Focuses on the regulatory scheme for financial planners by the Financial Planning Association in the United States. Legislation for the creation of a self-regulatory organization for financial planners and investment advisers; Division of investment advisers between state securities commissioners and the Stock Exchange Commission; Competency of the financial planning profession.
ACCESSION #
5343840

 

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