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Daniel Kahneman's top advice: Don't churn accounts

February 10, 2015

Asked to crystallize a career of studying how people think into one bit of guidance for financial advisers, the Nobel laureate Daniel Kahneman didn't hesitate. His advice: "Don't churn" accounts and trade too much. "Don't trust your own confidence,...

The latest CFA test scores send 56% back to square one

January 28, 2015

While some New Yorkers were shoveling out on Tuesday, a lot of Wall Street-wannabees were sweating over the results of the December CFA tests, which showed that only 44% of test takers passed. Cheer up, less than 20% of candidates pass all three...

Ohio State's Cardale Jones: 'No' to the NFL, 'yes' to financial planning

January 16, 2015

Cardale Jones shocked college football fans this week by leading Ohio State University to the College Football Playoff National Championship after the team's first- and second-string quarterbacks were injured. He confounded expectations again...

CFP Board hires new general counsel to oversee ethics, designation enforcement

January 6, 2015

The Certified Financial Planner Board of Standards Inc. said Tuesday it hired its lead counsel in compensation-description litigation as its first general counsel. Leo G. Rydzewski, a former partner in the Washington office of the law firm Holland...

CFP Board eases restrictions on use of mark

December 30, 2014

The CFP Board of Standards Inc. has approved two changes in the way professionals can achieve the certified financial planner designation. Both modifications will make it easier for certain individuals to attain the mark. First, for planning...

CFP Board head of enforcement leaves in midst of compensation-definition disputes

December 19, 2014

The head of the legal and enforcement arm of the Certified Financial Planner Board of Standards Inc. has left the organization while it is embroiled in disputes over compensation descriptions for its mark holders, raising questions about its...

It's time for transparency at the CFP Board

December 7, 2014

In making peace with Rick Kahler, the Certified Financial Planner Board of Standards Inc. may have quieted one outspoken critic but fired up other planners who were quick to accuse the board of playing favorites. In this case, the planners are...

Kahler and CFP Board reach agreement on fee-only status

November 26, 2014

After giving his interest in a family real estate firm to another family member, a well-known South Dakota financial planner can again call himself a fee-only adviser under the rules of the organization that grants the certified financial planner...

FPA, CFP Board deny urge to merge

October 31, 2014

Officials of the Financial Planning Association said that they do stand up to the organization that grants the certified financial planner designation and dismissed the idea of a merger, in response to criticism from a vocal investment adviser....

Revenue deflated in recent years, FPA says it's now on a growth trajectory

September 22, 2014

Despite slumping revenue and flat membership ranks, leaders of the Financial Planning Association can still deliver on their mission to advocate for a growing profession, the group's leadership said Sunday at its annual conference in Seattle....

Chairman White's political will may determine fiduciary-duty outcome

September 5, 2014

Like everything else in Washington, the outcome of the debate over whether to raise investment advice standards for brokers will come down to politics — or, more precisely, political will. Securities and Exchange Commission Chairman Mary Jo...

How to assess your business from six critical angles

September 4, 2014

Assessing your business is a mandatory analysis you must make to achieve success. The assessment needs to address where you are today, where you want to be at some point in the not-too-distant future (perhaps three years) and the gaps between...

Edward Jones sponsors college-credit course to prep students for Series 7 exam

August 18, 2014

Starting this fall, some college students will be able to study for the primary securities licensing exam while they're still in school — a sneak peek that one firm hopes will spark their interest in becoming financial advisers. Kansas State...

CFP Board: Talking tough but acting soft

August 10, 2014

Slowly, but surely, the Certified Financial Planner Board of Standards Inc. is backing itself into a corner. In its bid to assert a higher moral authority over the financial advice industry by requiring that its more than 70,000 certificants...

Why more graduates aren't sitting for the CFP mark

August 8, 2014

The CFP Board of Standards Inc. is digging around to try and figure out why many financial planning program graduates don't go on to attain the certified financial planner mark. Early results are telling. A recent study showed that 69%, or 351...

CFP Board tightens grip on who can use 'candidate' designation

August 8, 2014

The organization that grants the certified financial planner credential is restricting the way people trying to obtain the mark can describe themselves. V. Raymond Ferrara, chairman of the Certified Financial Planner Board of Standards Inc.,...

CFP Board holds fire on apparent fee-only violation

July 29, 2014

The Certified Financial Planner Board of Standards Inc. is holding off on sanctioning a planner for identifying himself as a fee-only adviser even though he appears to violate the organization's compensation description rules. Rick Kahler, president...

CFP and ChFC in different leagues, CFP Board says

July 17, 2014

The certified financial planner mark should not be compared to adviser designations like the chartered financial consultant because the latter does not include a code of ethics nor a comprehensive exam, the board that awards the CFP said. Joe...

Redesigned ChFC mark aims to top CFP education

July 14, 2014

The American College of Financial Services is revamping the chartered financial consultant designation to focus on applying strategies to client situations and including new coursework on topical issues such as divorce, retirement income planning...

Rogers leaves CFA Institute under cloud of alleged affair

June 11, 2014

The head of the CFA Institute abruptly stepped down last week amid allegations that he was conducting an affair with a colleague. John D. Rogers was president and chief executive until June 3, when he abruptly departed after the CFA board had...

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