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The United Way.
- Source :
- Financial Planning; Jun2007, Vol. 37 Issue 6, p53-54, 2p
- Publication Year :
- 2007
-
Abstract
- The article focuses on the possibility that the victory of the Financial Planning Association (FPA) on a case against the U.S. Securities and Exchange Commission (SEC) could lead to new regulations that cover both brokers and investment advisors. It says that a rule of the SEC which allows broker-dealers to offer fee-based advisory accounts without registering as investment advisors has been eliminated. The need to restructure regulations through congressional action is accounted.
- Subjects :
- LEGAL status of brokers
INVESTMENT advisors
PROFESSIONAL fees
Subjects
Details
- Language :
- English
- ISSN :
- 07467915
- Volume :
- 37
- Issue :
- 6
- Database :
- Complementary Index
- Journal :
- Financial Planning
- Publication Type :
- Periodical
- Accession number :
- 25311014