Watch breaking news videos and read news updates about Trade Organizations on investmentnews.com
Advisory panel calls on SEC to move fiduciary duty to front burner
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
FSI adds two indie broker-dealer executives to board
One of the biggest cheerleaders for independent broker-dealers in Washington is adding two senior executives from the industry to its board.
White softens stance on minor securities violations
Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. “The balance is critical,” Ms. White told a meeting of the National Society of Compliance Professionals in
Adviser buzz from FPA Experience 2013
A collection of the most influential adviser tweets via the #FPAExperience conference hashtag
Take 5: New NASAA president Andrea Seidt
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.
FSI unveils advocacy website, social network
Tools intended to improve lobby's advocacy efforts and collaboration members.
FPA picks Gjertsen as 2014 president-elect
One-year term starts in 2015 following the one-year presidency of Janet Stanzak in '14.
CFP Board renews emphasis on comp disclosure
The Certified Financial Planner Board of Standards Inc. is putting a renewed emphasis on compensation disclosure in the wake of a disciplinary action this year involving its former chairman. Next week, the organization will send the roughly 68,000 CFP mark holders a notice “regarding the importance
Stock exchanges should lose SRO status: SIFMA
The Securities Industry and Financial Markets Association today called on the Securities and Exchange Commission to review whether for-profit stock exchanges should continue to act as self-regulatory organizations. “The self-regulatory model is a crucial area for immediate attention,” the
CFP Board to admonish ex-chairman
The Certified Financial Planner Board of Standards Inc. is expected to issue a public admonition letter today to Alan Goldfarb regarding allegations that its former chairman failed to describe accurately how he was compensated on the Financial Planning Association's website.
Leitz tapped as next NAPFA chair
Linda Leitz has been named chairwoman of the National Association of Personal Financial Advisors for a term that will begin Sept. 1. Ms. Leitz, founder and co-owner of It's Not Just Money Inc., a financial planning firm in Colorado Springs, Colo., will serve as chairman-elect until her appointment
NAPFA all-in on pushing CFP mark
Why did NAPFA throw its full weight behind the CFP designation? The answer may not be as simple as you think.
After 20 years, NAPFA's Turf plans to step down
It's been a strange few months for the advisers association. In August, its chairman-elect decided not to take the post. And on Monday, the group's long-time CEO said she's leaving this summer.
Industry groups give congressionally, not on federal level
Trade associations in the investment advice sector can agree on one thing when it comes to politics: It doesn't make any sense for their political action committees to donate to presidential candidates.
CFP Board launches ads on NPR
National Public Radio listeners are hearing an advertisement that encourages them to turn to a financial planner for guidance on their investments.The NPR ad campaign, which began Monday and runs through mid-November, is the latest phase of an awareness campaign sponsored by the Certified Financial
- Facebook's five-star ratings: The end of business pages for advisers?
- Pimco's El-Erian to step in to shore up $3B multi-asset fund
- Rebound in gold suits big guns Paulson, Soros
- New 3.8% surtax means new tax strategies for business owners
- Mountain of money in nontraded REITs continues to hold Wall Street's attention
Explore your opportunities and be informed for your next move.
Blaine Aikin CEO, fi360
Timothy Welsh, CFP President and Founder, Nexus Strategy, LLC
Justin Wisz Co-Founder & CEO, Vestorly