Regulation of financial planners.
Items
Details
Uniform Title
Regulation of financial planners (Eagan, Minn.)
Title
Regulation of financial planners.
Added Author
Imprint
[Eagan, Minn.] : Thomson Reuters.
Description
1 online resource
Formatted Contents Note
Introduction
Defining financial planning and financial planners
Federal regulation of financial planners
Latest regulatory trends and developments
Dodd-Frank special studies
State regulation of financial planners
Civil and criminal liability
SEC and FINRA examinations and enforcement
Professional designations, certifications, and related matters
Impact on other professions
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming.
Defining financial planning and financial planners
Federal regulation of financial planners
Latest regulatory trends and developments
Dodd-Frank special studies
State regulation of financial planners
Civil and criminal liability
SEC and FINRA examinations and enforcement
Professional designations, certifications, and related matters
Impact on other professions
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming.
Source of Description
Online resource; Title from table of contents (Westlaw, viewed March 28, 2016).
Latest Issue Consulted
November 2015 update.
Location
WWW
Linked Resources
Language
English
Record Appears in