Articles tagged "CFP Board"
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Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'
August 27, 2012 at 3:33 AM
Lockshin: All advisors must deal with the threat of low industry standards -- before investors do it for them
The gains of the last 20 years could be scuttled if advisors don't band together to raise the standards of training and education
August 17, 2012 at 4:27 AM
5 ways financial advisors can serve the growing market of unwed couples
RIAs have much to offer the 7 million unhitched couples in the U.S. - including members of the LGBT community who can't get married and baby boomers who don't want to
June 25, 2012 at 3:56 AM
Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1
Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel
May 30, 2012 at 4:37 AM
FINRA comes up with cost projections for its SRO and the CFP Board blasts them
FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"
May 14, 2012 at 3:59 AM
Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican
Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like
April 26, 2012 at 5:37 AM
Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile
Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'
April 13, 2012 at 3:44 AM
CFP Board makes a raft of changes -- including plans to send out press releases about CFP members who declare bankruptcy
There's been a big upswelling of members with bankruptcy problems
April 5, 2012 at 4:39 PM
FINRA attacks Boston Consulting Group over SRO study
BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot
December 16, 2011 at 7:05 AM
3 notable RIA happenings in the past week
CFP Board says it's changing hearts and minds of affluent Americans, studies find more advisors making succession plans and RIAs find clients can't get over their allergy to risk
November 21, 2011 at 5:11 AM
Four news items for RIAs
Banks buy RIAs again; UHNW go nuts for iPads; the CFP Board gets much tougher; a big IBD gets a new president
August 26, 2011 at 5:13 AM
How five recent RIABiz articles caught readers' attention and what bigger stories they tell
If advisors blinked in the last two weeks, telling chapters of growth slipped by
April 28, 2011 at 1:18 PM
(Updated) What’s behind the CFP Board’s big fee increase
'Category-killer' is in the eviable position of controlling a mark that many advisors think is essential
April 14, 2011 at 1:14 PM
Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million
March 10, 2011 at 5:37 AM
GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes
