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Financial Designations Proliferate
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Those financial planning designations just keep on coming, and investor lawsuits may not be far behind, some in the industry say.
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Financial Titles Can Mislead
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Financial titles can mislead, entrap unwary. Not everyone has expertise or your interests at heart.
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The Biggest Risk To A Seniors Finances Family
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Pity the older people. They just can’t catch a break. Preyed upon by relatives, caregivers and con men, they are also, experts say, ill-equipped to choose someone to advise them on their finances.
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Ratings Needed For Alphabet Soup Of Adviser Certifications
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Urges consumer bureau to devise system to rank designations.
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CFP Board Wants US To Rate Financial Certifications
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The Certified Financial Planner Board of Standards has written a letter to the Consumer Financial Protection Bureau urging the recently established agency to create a ratings system for financial certifications and designations.
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SEC Cracking Down On Investment Advisers
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Agency files record number of cases in fiscal 2012; more of the same coming.
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SEC Offers Primer On Selecting A Financial Planner
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Finding the right financial planner can be a confusing process. To simplify the search, the SEC has released a new bulletin that contains tips for finding one.
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Finra Takes Foot Off Suitability Pedal
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Regulator backtracks from earlier, broader rule interpretation.
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No Country For Old People
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Reports from AARP and EBRI find the U.S. retirement outlook is bleak.
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Dually Registered Advisers In SEC Sights
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Blurring lines between investment advisory and broker-dealer businesses are causing the Securities and Exchange Commission to sharpen its focus on dually registered advisers.
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