Financial Planning Coalition

FPA makes two big pushes in Washington

By Melanie Waddell | April 30, 2013

The FPA is “well under way” in putting its advocacy infrastructure in place, says FPA President Michael Branham.

Debate over fed, state, international rules intensifies

By Elizabeth Festa and Arthur D. Postal | March 21, 2013

Insurance regulation is going to change. The critical issue is how and to what extent.

Americans want government to regulate advisors

By Warren S. Hersch | March 18, 2013

More than 80 percent of Americans believe the federal government should regulate financial advisors, new research shows.

SEC issues public comment request on fiduciary rule

By Melanie Waddell | March 4, 2013

Nearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.

FINRA quietly shifts SRO efforts to Senate

By Melanie Waddell | February 7, 2013

FINRA has set its sights on the Senate to push a bill that would give it the authority to become the SRO for advisors.

Waters Tries to Ice SRO Bill

By Arthur D. Postal | July 1, 2012

Legislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.

Waters Tries to Ice SRO Bill

By Arthur D. Postal | June 14, 2012

Legislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.

SRO Hearing in the House

By Arthur D. Postal | June 6, 2012

Broad fissures within the investment advisory community over how the industry should be regulated going forward were exposed today at a House hearing.

For YOUR Own Good

By Elizabeth Festa | October 7, 2011

Dodd-Frank does not require a rule, just the already-completed study. But internal pressure from the advisory and retail investment world is mounting for clarity and a standard rule—as has interest among private firms advisors and some consultants—for those selling life/annuity insurance and other investment products in the broker channel to...

Uniform fiduciary standard

By Brian Anderson | January 26, 2011

To the surprise of no one, the SEC submitted a staff study to Congress a few days ago "recommending a uniform fiduciary standard of conduct for broker-dealers and investment advisors.