National Association of Personal Financial

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  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.

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  PBS ‘Retirement Gamble’ documentary draws mixed industry response

  By Danielle Andrus  |  April 26, 2013

  NAPFA calls film “wake-up call” for legislators; ASPPA says it “conveniently ignores” other issues.

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  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.

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  Homesteaders CEO announces succession plans

  By Noah Guillaume  |  March 1, 2013

  Steve Lang will become the company’s ninth president when Graham Cook retires as CEO in February 2014.

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  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.

• The impact of a universal fiduciary standard

  By Brian Anderson  |  August 1, 2012

  Few threats are scarier to the average independent life insurance producer than the potential banning of commission-based compensation for insurance product sales. And the prospect of adapting from a suitability standard of care to a fiduciary standard opens up another can of worms.

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  To Thwart SRO, Rep. Waters Introduces User Fee Bill

  By Melanie Waddell, AdvisorOne  |  July 30, 2012

  As she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).

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  The impact of a universal fiduciary standard

  By Brian Anderson  |  July 30, 2012

  As it becomes more likely the SEC will impose a universal standard, independent producers have reason for concern.

• 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.

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  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.