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Advisors have until Dec. 3 to opine on proposed revisions to types of misconduct and resulting sanctions.
September 6
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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7
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A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.
May 10
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The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.
March 20
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The panel plans to take through 2024 to complete its 'everything's-on-the-table' review of experience, education and exam standards.
March 13 -
The industry's fastest-growing business model puts two very different functions under one roof. Are investors — and advisors — clear on the differences?
March 9
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The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.
February 21
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Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.
February 14
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James Lee says title protection for advisors would be a huge step toward making financial planning 'the most important authentic profession of the 21st century.'
February 10
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The certifying group says a change in its tax-exempt status will let it communicate to the public everything financial planning, from advisor salaries to the profession's accommodating hours.
January 27
