On June 28, 2016, the Securities and Exchange Commission proposed Rule 206(4)-4 under the Investment Advisers Act of 1940 that would require each SEC-registered investment adviser to adopt, implement and annually review a written business continuity and transition plan to…
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Countering Elder Exploitation
Submitted by Scott Nelson – Professional Issues Director I would like to invite everyone to the FPA Professional Issues/NexGen K’Nex event on RIA formation and regulation on Tuesday, September 27th from 7:30 AM to 9 AM at 3300 Edinborough Way,…
Better Practices for Serving Senior Investors
Submitted by: Donald McNeil, Esq. – Professional Issues Committee Member That sound you are hearing outside your office are over 10,000 champagne corks popping every day as Baby Boomers retire. Each year, over 3.6 million Baby Boomer investors will turn…
Join the Discussion on the DOL Fiduciary Rule and Other Public Policy Matters
Join the Public Policy and Regulation Knowledge Circle and join your peers who share an interest on the public policy and regulatory issues that impact the practice of financial planning. Are you interested in discussing the re-proposed DOL fiduciary rule?…
Is Suze Orman a Fiduciary?
Just prior to drafting this paper, I did a quick search in my Outlook Inbox for “DOL Fiduciary”- 192 results….and that doesn’t include the ones I’ve already sent to the Deleted box. So if you’re a financial advisor and you’ve…
Let Your Voice Be Heard! Register for 3rd Annual Advocacy Day in Washington, D.C.
Are you passionate about financial planning? Do you want to help educate federal policymakers about the profession and the important role financial planners play in the lives of their clients? If so, register now to take part in the 3rd…
The New Fiduciary Rule
On April 6, 2016, the U.S. Department of Labor (the “DOL”) issued final regulations expanding the definition of a “fiduciary” with respect to pension and retirement plans, IRAs and other accounts under ERISA and the Internal Revenue Code. The regulatory…
Recap: FPA of MN’s 2016 Advocacy Day
On Wednesday, March 9th, FPA of Minnesota members met with Minnesota Department of Commerce Commissioner Rothman and members of his staff. FPA of MN members had a good discussion with the Commissioner that focused on the proposed Minnesota Safe Seniors…
FPA of MN’s Advocacy Day is Wednesday, March 9th at the State Capitol
A reminder that Wednesday, March 9th is FPA of MN’s Advocacy Day at the State Capitol in St. Paul. We will be meeting at 9:00 AM in Room 500 North of the State Office Building which is located adjacent to…
Becoming an ElderCare Advisor
Note: Mauterstock is presenting at our 2016 FPA of MN Annual Sympsium on October 10-11. The February Issue of the Journal of Financial Planning asked 10 Questions of former advisor and author on eldercare issues, Bob Mauterstock. Mauterstock stressed the…
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