Rules & REGULATIONS
- ICFP in the States. // Journal of Financial Planning;Sep99, Vol. 12 Issue 8, p11
Presents updates on the Institute of Certified Financial Planners (ICFP) in the United States in September 1999. Survey on which state plans to adopt a competency examination and waivers for investment adviser representatives; Proposal to require financial planning firms and others with a...
- Ten Years Ago at the Institute. // Journal of Financial Planning;Nov99, Vol. 12 Issue 9, p21
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...
- TEN YEARS AGO AT THE INSTITUTE. // Journal of Financial Planning;Dec1997, Vol. 10 Issue 6, p17
Discusses how continuing education for financial planners was a big theme way back in 1987 at the Institute of Certified Financial Planners. Date of effectivity of the continuing education standards; Information services for the standards.
- ICFP Organizes Series 65 Waiver Campaign. // Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p73
This article reports on the efforts of the Institute of Certified Financial Planners Government Relations Department to distribute information kits to societies in preparation for a new competency exam that will be adopted in 1999 by many state securities regulators in the U.S. The new Series 65...
- Fin'l planning groups push changes for inv. advisers. Friedman, Amy S. // National Underwriter / Life & Health Financial Services;3/11/96, Vol. 10 Issue 11, p1
Reports that the Institute of Certified Financial Planners (ICFP), the International Association of Financial Planning, and the National Association for Personal Financial Advisors have joined forces to support language drafted by the ICFP that would amend the 1940 Investment Advisors Act.
- Local Motion. Phipps, Melissa // Financial Planning;Nov99, Vol. 29 Issue 11, p47
No abstract available.
- ICFP to be Included in Broker/Dealer Dialogue, Levitt Says. // Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p72
This article reports on a meeting between U.S. Securities and Exchange Commission Chairman Arthur Levitt and leaders of the Institute of Certified Financial Planners, reassuring the institute that it would be part of any dialogue involving proposed broker/dealer oversight of advisory activities....
- Disclosure Under the Code. Goss, Robert P. // Journal of Financial Planning;Oct89, Vol. 2 Issue 4, p168
The Institute of Certified Financial Planners and the International Board of Standards and Practices for Certified Financial Planners. Inc (IBCTP) have the most rigorous Code of Ethics in the profession. That exception is that as the professional membership organization for Certified Financial...
- Why Willy Wonka Closed the Chocolate Factory. Walker, Lewis J. // Journal of Financial Planning;Oct97, Vol. 10 Issue 5, p46
The article focuses on the Institute of Certified Financial Planners' Retreat 1997, which took place in Hershey, Pennsylvania. At the Retreat, one of the exhibitors was an oil company, a sponsor of oil and gas drilling ventures. There were times that the wholesaler looked a little lonely...