Financial Planning Association Asks SEC For Regulatory Guidance

Investment News is reporting that the Financial Planning Association has written a letter to the Securities and Exchange Commission asking for regulatory guidance over the differences between financial planning and fee based brokerage services. The FPA have asked for clarification

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Investment News is reporting that the Financial Planning Association has written a letter to the Securities and Exchange Commission asking for regulatory guidance over the differences between financial planning and fee-based brokerage services.

The FPA have asked for clarification over what conditions a broker-dealer will fall under the Advisers Act.

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