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Financial Planning Coalition Letter to SEC Addresses Impact of Applying Advisers Act to Brokerage Activity

Nov 30, 2010
On November 30, 2010, the Financial Planning Coalition sent a letter to the Securities and Exchange Commission (SEC), responding to comments provided by the Securities Industry and Financial Markets Association (SIFMA) that set out to assess the impact of applying the Advisers Act to all brokerage activity, and urging the SEC to adopt a strong and uniform fiduciary standard for both broker-dealers and investment advisers when making personalized recommendations to retail customers.

Read the Coalition’s letter (PDF, 79KB)
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Among clients who work with an advisor, 87% of those working with a CFP® professional are satisfied or very satisfied, compared with 72% of those who work with an advisor without certification.
Anyone can call himself a “financial planner.” Only professionals who meet CFP Board’s rigorous standards can call themselves CERTIFIED FINANCIAL PLANNER™ professionals.
The 2013 Household Financial Planning Survey shows that those with a financial plan feel more confident and report more success managing money, savings and investments than those without a plan.
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