TITLE

Rules & REGULATIONS

PUB. DATE
August 1996
SOURCE
Journal of Financial Planning;Aug1996, Vol. 9 Issue 4, p88
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article states various rules and regulations undertaken by state and federal regulators regarding financial planning in the U.S. A recent interpretive release by the U.S. Securities and Exchange Commission (SEC) essentially allows electronic transmission of various disclosure documents, wrap brochures, and contracts to clients. The SEC requires certain safeguards to ensure the integrity tithe delivery system so that the client's documents are reasonably secure front tampering or alteration. On the state level, a number of states have focused on the offer and sales of securities over the Internet. Also pursuant to a court order, the Florida Board of Accountancy in a recent quarterly newsletter published an article on the U.S. Supreme Court decision, lbanez v. State of Florida, Board of Accountancy which allows Certified Public Accountants who hold the Certified Financial Planner(CFP) designation to use the CFP mark on business cards and in advertisements. Lastly it states that unanimous endorsement of a securities reform package in the Senate signals a real possibility of uniform investment adviser amendments becoming law. INSET: State Activity.
ACCESSION #
5560642

 

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