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Financial Planning January 5, 2008 Stacy Schultz	On the Job The CFP Board of Standards in Denver has named Frank Bergmeister director of education... The Financial Planning Association in Denver has elected new board members... The Investment Management Consultants Association in Greenwood Village, Colo., has named Garry Bridgeman president...etc.
Investment Advisor January 2008 James J. Green	FPA Calls for Big Regulatory Reform in Treasury Letter In a long, comprehensive comment letter, the FPA told the Treasury Dept. that it agreed with Treasury's plans to review the current financial regulatory structure in the US.
Registered Rep. March 30, 2007 John Churchill	Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule.
Financial Advisor March 2005 Tracey Longo	Helping The FPA Survive And Thrive Is new Financial Planning Association President Jim Barnash up to the task?
Registered Rep. October 1, 2004 John Churchill	BrokerAdvisor BrokerAdvisor Let's Call the Whole Thing Off! The Financial Planning Association and some consumer groups are in court in an effort to block brokers from introducing themselves tp prospective clients as finanical advisors or financial consultants.
Financial Advisor December 2005	Frontline News Fee-Only Practices Are The Most Profitable... FOLIOfn Subsidiary Launches Proxy Compliance Service... Advisors Got Wealthier, And Happier, In 2004, Says Survey... FPA Names Nicolette 2006 President-Elect... etc.
Registered Rep. March 30, 2005 John Churchill	House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients.
Financial Advisor June 2012	FPA Chief Marvin Tuttle To Step Down In 2014 Tuttle, 57, announced his retirement in May at the 2012 FPA Retreat in Scottsdale, Ariz.
Financial Advisor March 2011 Andrew Gluck	Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change.
Investment Advisor August 2006 Bob Clark	Clark at Large: Out of Focus The FPA's Recommendations on Future Regulation needs clarification.
Investment Advisor December 2007	Changes The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners... New York Life Investment Management appointed David Bedard as senior managing director... etc.
Financial Advisor November 2012 Karen DeMasters	FPA Membership Slide Stabilizes A free fall in the Financial Planning Association's membership over the last few years has stabilized, and the organization's new leaders say they're hopeful a turnaround is in the offing.
Registered Rep. April 8, 2005 John Churchill	`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on.
Investment Advisor April 2008	Group Think The American College selected Carroll Walker as this year's recipient of the Samuel H. Weese Award... The Financial Planning Association is currently accepting nominations for its 2009 Board of Directors...
Registered Rep. February 1, 2005 John Churchill	A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.
Registered Rep. October 23, 2006 John Churchill	Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference.
Financial Advisor March 2011 Evan Simonoff	Challenges Confront FPA Editor's Note: Like many associations, the FPA is not doomed, but it needs to rethink its value proposition.
Investment Advisor January 2009 Kara P. Stapleton	Changes People on the move.
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
Registered Rep. September 10, 2007 Kristen French	FPA Helps Firms Comply With B/d Exemption Ruling The Financial Planning Association is making an effort to help brokerage firms and their advisors comply with the D.C. Court of Appeals ruling that killed the broker/dealer exemption and fee-based brokerage accounts.
Financial Planning January 1, 2007 Elizabeth O'Brien	The Other Diversification Financial planners take steps to increase minority participation in the industry.
Investment Advisor January 2006 Bob Clark	Clark at Large: Two Steps Back? Just when FPA is moving into high gear, some of its rhetoric sounds suspiciously retro.
Energize April 2007 Susan J. Ellis	I'll Help with That, But Don't Ask me to Lead it! Have you found that it is easier to recruit a volunteer to do frontline, hands-on work than to accept a leadership position on a board of directors, advisory council, or key committee? This is becoming a universal concern, including for professional associations of volunteer program managers.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
Financial Advisor April 2008	Frontline News Tumult At CFP Board's Ethics Commission... FPA Says No To FINRA Or SEC Oversight... Client Loyalty Counts For Only So Much... Investors Flock To Socially Responsible Investing... Sanders Morris Buys Half Of Leonetti & Associates... etc.
Registered Rep. September 30, 2003 Will Leitch	Lobbying for Independents The Financial Planning Association has lamented, along with many of its members, the absence of a specific lobbying organization for independent broker/dealers. The FPA is now trying to do something about it.
Financial Advisor June 2007	Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc.
Registered Rep. April 6, 2005 John Churchill	SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption.
Investment Advisor April 2006 Kathleen M. McBride	Strong Start for FPA Business Solutions Conference The two-day gathering was designed to give members a leg-up in running an "efficient, effective business," in a setting that encourages advisors to interact with each other.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Investment Advisor October 2007 James J. Green	A Robust FPA Celebrates Fresh from Senate testimony, FPA President Nicholas Nicolette stresses fiduciary duty, and the vigor of the Financial Planning Association.
Investment Advisor May 2007 Melanie Waddell	Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule.
Financial Advisor November 2003 Evan Simonoff	Contest For The Financial Planning Association's Soul Is the Institute of Certified Financial Planners's agenda for the new association (the product of a merger between the ICFP and the International Association for Financial Planning) winning?
Investment Advisor April 2007	Group Think-April 2007 The SEC cuts fees charged to public companies... The NASD Investor Education Foundation launched a grant program... etc.
Financial Planning June 1, 2007 Marshall Eckblad	The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors.
Financial Planning January 1, 2006	On the Job Fiserv Investment Support Services has appointed Vice President Sean Gultig head of its Advisor Services area... National Planning Holdings has appointed chief compliance officers to three of its network firms... etc.
Investment Advisor June 2008	Group Think People and news: Danielle Winchester is named Schwab Research Scholar... Financial Planning Association and McLagan Partners launch a new program... Trish Brambley... Albert "Bud" Schiff...
Financial Planning June 1, 2005 Harold Evensky	The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.
Registered Rep. December 20, 2005 Halah Touryalai	Broker Cleans Up Millions From Dirty Campaign Charges A broker won nearly $10 million from his former employer, Waddell & Reed, last week -- six years after first suing the broker/dealer for smearing his reputation and eight years after being fired in the wake of his testifying against the firm at an SEC hearing.
Investment Advisor October 2007 K. McBride & K. Stapleton	Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill.
Financial Advisor July 2007 Richard B. Wagner	Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession.
Investment Advisor February 2009 Kara P. Stapleton	Group Think The Certified Financial Planner Board of Standards releases proposed revisions to its Disciplinary Rules and Procedures... Financial Services Institute's Board elects Eric Schwartz chair... FPA Board of Directors approved creation of Diversity Scholarship Program for FPA conferences...
Financial Planning November 1, 2005 Kathy Gevlin	Adviser Pulse If you're a successful financial adviser considering a job change, your time has come: Explosive growth in the industry has triggered unprecedented demand for advisory professionals, and limited supply is pushing compensation for top advisers to ever higher levels.
Investment Advisor May 2007 Bob Clark	We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC.
Investment Advisor May 2009	Groupthink Financial industry news: Financial Planning Association accepting nominations for 2010 Board of Directors... NAVA hires Lee Covington as senior VP... An initiative to educate key legislators on the issues facing the independent B/D community...
Investment Advisor April 2009	Group Think News from FINRA, IAA, NAVA, NAPFA, and NAIFA
Investment Advisor June 2010 Ray Sclafani	The Five Types of Leadership for Advisors In tough times, "leader-advisors" step up for clients, colleagues, and peers.
Investment Advisor January 2007 Robert F. Keane	Catching up with... Nick Nicolette The 2007 President of the Financial Planning Association already has clear ideas about what the agenda for his term will be. Here's an interview.
Registered Rep. December 1, 2006 John Churchill	Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?