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FPA, NAPFA and IAA to fight SEC’s pop-quiz proposal
The financial advisory industry is bracing for a battle over the Securities and Exchange Commission's efforts to subject thousands of investment advisers to surprise exams by outside auditors.
Financial advisers face a crisis of confidence
Many financial advisers are suffering a crisis of confidence that is hurting their relationships with existing clients and hampering their abilities to recruit new clients.
Activity of investment advice needs regulation
As Congress prepares to tighten financial regulation to correct weaknesses revealed by the mortgage collapse, the debate over who should regulate those who give in-vestment advice, including financial planners,
Planners urge enforcer role for CFP Board
With regulation of the financial planning industry all but a certainty, a coalition of industry groups is cobbling together a proposal to make the Certified Financial Planner Board of Standards Inc. the rule setter and enforcer for the nation's hundreds of thousands of unregulated planners.
Financial planning industry groups urge enforcer role for CFP Board
The effort is an attempt by the financial planning industry both to legitimize itself as a regulated profession and reverse the growing impetus of the Financial Industry Regulatory Authority Inc., which oversees securities brokers, to expand its domain to planners and advisers.
Pound the pavement, urges Schwab expert
Advisers need to bolster their sales efforts to snag new clients since most advisory firms’ sales are down 10% to 40%, one industry expert told advisers at the Financial Planning Association’s Business Solutions conference at the Chicago Westin.
Fearing low turnout, FPA cuts conference fee
The Financial Planning Association has lowered the registration fee for one of its upcoming conferences in light of the downturn in the economy.
FPA to help advisers choose best technology program
As market volatility persists, the Financial Planning Association has created a research program that is aimed to help advisers choose the best technology.
FPA feels the economic sting
Economic reality is sinking in at the Financial Planning Association, where the trade group today will eliminate 12% of its work force, including 10 full-time staff positions.
FPA lands AT&T as major firm sponsor
The sponsorship is considered a breakthrough for the four-year old initiative, which aims to attract and involve large financial service firms to work with the Denver-based FPA.
Planners form coalition to press reforms
The leaders of three financial planning organizations have formed a coalition to represent the industry as Congress works to reform the financial services industry.
FPA names president-elect
The Financial Planning Association has named Tom Potts president-elect for 2009.
Sole practitioners face challenging future
Financial advisers are needed now more than ever because of the financial crisis, but complexities in the market may drive more to establish larger practices.
Advisers remain calm as Cramer yells fire
“Whatever money you may need for the next five years, please take it out of the stock market right now, this week,” Jim Cramer said on CNBC’s “Today Show” in an interview with Ann Curry.
Bracing for lean times ahead
"We know that a pullback is coming and have budgeted accordingly, looking ahead at 2010 fiscal-year budget," said the association’s president, Mark E. Johannessen.
Diversity Task Force unveiled
The Financial Planning Association's Diversity Task Force has created a scholarship program to help increase involvement among groups that are underrepresented in the financial industry.
Financial planning pays off, survey says
Eighty-eight percent of individuals that were working with a financial adviser to develop a comprehensive financial plan felt they had a clear financial direction, according to the findings.
Advantage Obama, says presidential adviser
The crisis in the financial markets has not only hurt investors but also has the John McCain presidential candidacy on the run, national political analyst David Gergen told more than 3,000 members FPA conference.
FPA expects strong turnout at conference
Market turmoil notwithstanding, the Financial Planning Association is expecting a strong turnout for its national conference, which it is scheduled to kick off on Saturday in Boston.
Don Pitti honored by FPA
The Financial Planning Association will give P. Kemp Fain Jr. award to Don Pitti at its FPA Boston 2008 conference in October.
