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12
Dual Federal/State Regulation of Financial Planners

Chapter Outline
  • EMERGENCE OF FINANCIAL PLANNING SERVICES

  • FEDERAL REGULATION OF FINANCIAL PLANNERS

    • Regulation as an Investment Adviser: The Investment Advisers Act of 1940
    Employee Retirement Income Security Act
  • STATE REGULATION OF FINANCIAL PLANNERS

    • State Investment Adviser Laws
    Application of State Insurance Unfair Trade Practices Acts to Financial Planners
    Licensing Financial Planners under State Insurance Regulation

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