Jump to ContentJump to Main Navigation
The Market for Retirement Financial Advice$
Users without a subscription are not able to see the full content.

Olivia S. Mitchell and Kent Smetters

Print publication date: 2013

Print ISBN-13: 9780199683772

Published to Oxford Scholarship Online: January 2014

DOI: 10.1093/acprof:oso/9780199683772.001.0001

Show Summary Details
Page of

PRINTED FROM OXFORD SCHOLARSHIP ONLINE (www.oxfordscholarship.com). (c) Copyright Oxford University Press, 2019. All Rights Reserved. Under the terms of the licence agreement, an individual user may print out a PDF of a single chapter of a monograph in OSO for personal use (for details see www.oxfordscholarship.com/page/privacy-policy).date: 21 July 2019

Regulating Financial Planners: Assessing the Current System and Some Alternatives 1

Regulating Financial Planners: Assessing the Current System and Some Alternatives 1

(p.305) Chapter 14 Regulating Financial Planners: Assessing the Current System and Some Alternatives1
The Market for Retirement Financial Advice

Jason Bromberg

Alicia P. Cackley

Oxford University Press

This chapter reviews US federal and state regulation of financial planners, and it also addresses concerns related to consumer confusion over the standards of care that planners provide and the titles, designations, and certifications that they use. We discuss the advantages and disadvantages of some alternative regulatory approaches, and conclude that an additional layer of regulation specific to financial planners may not be warranted at this time.

Keywords:   fiduciary standard, financial adviser, certification, regulation, Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA)

Oxford Scholarship Online requires a subscription or purchase to access the full text of books within the service. Public users can however freely search the site and view the abstracts and keywords for each book and chapter.

Please, subscribe or login to access full text content.

If you think you should have access to this title, please contact your librarian.

To troubleshoot, please check our FAQs , and if you can't find the answer there, please contact us .