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The Market for Retirement Financial Advice$
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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

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

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

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

Jason Bromberg

Alicia P. Cackley

Publisher:
Oxford University Press
DOI:10.1093/acprof:oso/9780199683772.003.0014

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)

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