Nerd's Eye View

JULY 17, 2023

Accordingly, in 2020 the North American Securities Administrators Association (NASAA) introduced a Model Rule for the first-ever CE obligation for Investment Adviser Representatives (IARs) to maintain their Series 65 license after initially obtaining it.

Ethics 245

Ethics Financial Advice CFP Financial Advisor 245

Nerd's Eye View

SEPTEMBER 25, 2023

The rising popularity of CFP certification was thanks in large part to CFP Board's setting of rigorous educational and examination requirements that established a high bar of competency for those who wished to use the CFP marks.

CFP 246

CFP Financial Planning Planning Certification 246

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite. Previous research by Derek Tharp et al.

CFP 130

CFP Financial Advisor Ethics Certification 130

Nerd's Eye View

FEBRUARY 27, 2023

Financial advisors are generally required to abide by ethical standards, such as the duty to act in a client’s best interests when giving financial advice. A forthcoming study by Jeff Camarda et al. in Journal of Financial Regulation, however, concludes the opposite. Previous research by Derek Tharp et al.

CFP 130

CFP Financial Advisor Ethics Certification 130

Indigo Marketing Agency

JANUARY 11, 2021

We are thrilled to have a new article published in the December 2020 issue of the Investments & Wealth Monitor , a bimonthly educational magazine for financial professionals published by Investments & Wealth Institute.

Investing 52

Investing Investments Education Ethics 52

The Big Picture

NOVEMBER 15, 2022

Since 2020, their performance has been awful. RITHOLTZ: In 2020, no one even came in second. RITHOLTZ: I think she was plus 160% in 2020, when the market from the lows, the market was up 68%. He was literally in college, got his guiding certificate in Maine, and we know what those guys are like, right? NADIG: Yeah.

Management 278

Management Assets Portfolio Investing 278

Sara Grillo

SEPTEMBER 12, 2022

A $100 increase in the CFP annual certification fee spurred an industry outcry, leading many to question whether the designation is worth it or not. Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. There are more than 92,000 CFP® certificants, as per the CFP Board’s 2022 measure.

CFP 80

CFP Financial Planner Ethics Financial Planning 80