CE Providers Call for Transparency on CFP Board Reporting Fees
Continuing education providers are suggesting the CFP Board include its reporting fee costs in the Board’s annual certification dues for clients, though a spokesperson says the Boa...
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Continuing education providers are suggesting the CFP Board include its reporting fee costs in the Board’s annual certification dues for clients, though a spokesperson says the Boa...
The influential planning entrepreneur and the FPA are leading an effort to change a tiered fee structure for continuing education providers that started three years ago.
This UNO financial planning education program—the first approved at a Nebraska system college of business—prepares students for careers in financial planning, one of the fastest-gr...
Advisor compensation, a regulatory sandbox and cyber resilience also make the cut
In February 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its Rule 2210(d)(1)(F) that would permit member firms to include performance projection...
TORONTO, April 13, 2026 (GLOBE NEWSWIRE) — The Canadian Public Accountability Board (CPAB), Canada’s public company audit regulator, today announced changes to its Board of Directo...
What Happened? On May 12, 2026, California Governor Gavin Newsom announced the appointment of former Consumer Financial Protection Bureau (“CFPB”) Director Rohit Chopra as Secretar...
Subscribers to Financial Planning can earn one continuing education credit toward recertification by successfully completing the 10-question quiz.
In March 2025, the Financial Industry Regulatory Authority (FINRA) published and requested comment on a proposed new “outside activities” Rule 3290 that would combine and replace R...
Subscribers can stay up to date on key industry issues while earning one hour of continuing education credit toward maintaining professional certification.
In 2024, the board approved an increase in member firm fees spread out over a five-year period. But revenue from higher transaction volume is prompting “lively conversations” about...
At a time when consumer financial regulation is both rapidly evolving and deeply contested, the launch of the Institute for Consumer Financial Choice (ICFC) represents a significan...
IAP's 2025 report calls out proprietary shelves, long-term asset funds and lagging CFR compliance
On May 12, California Governor Gavin Newsom announced the appointment of former CFPB Director Rohit Chopra as Secretary of California’s newly created Business and Consumer Services...
Regulator flags AI, derivatives, and a national marketing sweep among its top examination priorities
On March 30, 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered...
California Governor Gavin Newsom announced that he has named former Consumer Financial Protection Bureau (CFPB) Director Rohit Chopra as the Secretary of the state's new Business a...
For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for the annual examination of the FCM’s operation...
Settlement also comes with $45,000 in financial penalties
On May 1, the DFPI announced in its May Monthly Bulletin that it had obtained its first administrative decision affirming a California Consumer Financial Protection Law (CCFPL) act...
On May 1, the DFPI announced in its May Monthly Bulletin that it had obtained its first administrative decision affirming a California Consumer Financial Protection Law (CCFPL) act...
The SEC and CFTC jointly proposed amendments to Form PF that would raise the reporting threshold from $150 million to $1 billion in private fund assets under management, which may...
CIRO hearing panel hands down sweeping sanctions against former PFSL dealing representative
The Consumer Financial Protection Bureau could finalize changes to its Regulation X servicing rules while creating a regulatory pathway for streamlined GSE refinances by the end of...
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