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Announcements

SEC Proposal on Broker-Dealer Reports

Aug 26, 2011

On August 26, 2011, CFP Board submitted a comment letter to the SEC in support of its proposal to strengthen the rules that apply to broker-dealers with custody of client assets. In its letter, CFP Board characterized the Broker-Dealer Reports Proposal as a welcome effort to close regulatory gaps demonstrated by the Bernard Madoff Ponzi scheme scandal.CFP Board believes the Broker-Dealer Reports Proposal is a much-needed companion rule to the Investment Adviser Custody Rule that will enhance the Commission's ability to oversee the custody activities of broker-dealers.

Read CFP Board’s letter (PDF, 98KB)

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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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