Standards

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  Should Practice Management Really Be Eligible for CE? Part 1

  By Michael E. Kitces  |  September 6, 2012

  Who wants a doctor who skipped classes on the latest medical treatments to instead learn about marketing or a new billing software?

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  Unregulated Advisor Designations Leave Seniors Vulnerable, IMCA Says

  By John Sullivan, AdvisorOne  |  September 4, 2012

  Incompetent financial advice is a serious threat that leads to tangible losses for seniors. IMCA wants to do something about it.

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  CFP Board to CFPB: Seniors Drowning in Alphabet Soup of Advisor Credentials

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  To help thwart the rising use of misleading or fraudulent designations and certifications, the CFP Board is urging the Consumer Financial Protection Bureau to create a ratings system for such credentials.

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  A Chat With CFP Board CEO Kevin Keller: Fiduciary, SRO and His Priorities

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Providing the SEC with the resources it needs “is the best solution" to the advisor exam problem, says Kevin Keller, but finding a way to ensure advisors face more exam scrutiny—through an SRO or user fees paid to the SEC—will be a “long-term issue.”

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  What Planners Can Expect From CFP Board's New Sanction Guidelines

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  Suggestions received during the public comment period on the Board's guidelines resulted in increases to some proposed penalties; forgery, fraud and breach of fiduciary duty all saw suggested penalties raised to a suspension of a year and a day.

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  Quad-A: Enticing Black Students to Become Advisors

  By Savita Iyer-Ahrestani, AdvisorOne  |  August 8, 2012

  Quad-A’s focus is on trying to get historically black universities like Howard to introduce degree programs in financial planning.

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  Planning Betters Financial Health at All Income Levels: Study

  By Marlene Y. Satter, AdvisorOne  |  July 23, 2012

  People with a financial plan are more likely to report themselves as “living comfortably”—even if they are in lower income brackets, according to a survey from the Consumer Federation of America and the CFP Board.

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  FINRA Hits Back in Battle Over Advisor SRO

  By Melanie Waddell, AdvisorOne  |  May 29, 2012

  FINRA is now refuting a review, done by Boston Consulting on behalf of several investment advisory trade groups, that challenged FINRA’s cost estimates in assuming an SRO role.

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  Advisor Groups Refute FINRA’s Cost Estimates for SRO Role

  By Melanie Waddell, AdvisorOne  |  May 10, 2012

  The Boston Consulting Group released Thursday a review refuting FINRA’s cost estimates in assuming the role of an SRO for advisors, saying it underestimated costs and overestimated productivity.

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  CFP Board Seeks Comments on Sanction Guidelines

  By Melanie Waddell, AdvisorOne  |  May 1, 2012

  The Certified Financial Planner Board of Standards announced Tuesday that it was seeking comments on its proposed sanction guidelines.