Financial Planning Association

• 

  FINRA Shifts SRO Fight to Senate, as House Effort Falters

  By Melanie Waddell, AdvisorOne  |  February 7, 2013

  With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.

• 

  New Hire Roundup: CFP Board Announces Chair Appointments

  By Marlene Y. Satter, AdvisorOne  |  January 30, 2013

  This week in new hires, John Byrne and Bryan Hissong returned to Prudential Retirement, and Jac McLean was named head of distribution at Hartford Mutual Funds.

• 

  Emboldened Borzi Is Back

  By Melanie Waddell, AdvisorOne  |  January 21, 2013

  Bolstered by another four years in her position under a re-elected Obama administration, Phyllis Borzi is adamant that EBSA’s fiduciary rule will see the light of day this year.

• 

  Top Portfolio Products: Women Hedge Fund Managers Provide More Alpha, Report Says

  By Marlene Y. Satter, AdvisorOne  |  January 11, 2013

  Women managing hedge funds provide higher returns, a Rothstein Kass report found. Also, Security Benefit Corp introduced a next-generation fixed annuity.

• 

  A Next-Gen Shot in the Arm

  By John Sullivan, AdvisorOne  |  December 21, 2012

  If you want an idea of how to help and support the next generation of advisors, look no further than the medical profession.

• 

  Three Washington Heavyweights to Drive Advisor Agenda in ’13

  By Melanie Waddell, AdvisorOne  |  December 19, 2012

  Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.

• 

  Want Professional Standards, Advisors? Get an Exclusionary Rule

  By Bob Clark, AdvisorOne  |  December 19, 2012

  If you’re going to have professional standards, you have to be able to kick out folks who don’t meet them.

• 

  New Hire Roundup: Layton to Run Neuberger Berman Wealth Group; New SIFMA Board Member

  By Marlene Y. Satter, AdvisorOne  |  December 6, 2012

  This week in new hires, Neuberger Berman announced that Brian Layton would head its Boston wealth management group; Paul Gamble was promoted at Financial Engines; and SIFMA announced that Kim Tillotson Fleming was named to its board.

• 

  NAPFA to Advisors: CFP Designation or Bust

  By Joyce Hanson, AdvisorOne  |  December 4, 2012

  NAPFA said Tuesday that it would only accept the CFP designation for people who applied to be NAPFA-registered financial advisors.

• 

  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.