Regulating Financial Planners: Assessing the Current System and Some Alternatives
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Wharton Pension Research Council Working Papers
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Economics
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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.
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2012-09-01
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The published version of this Working Paper may be found in the 2013 publication: The Market for Retirement Financial Advice (http://pensionresearchcouncil.wharton.upenn.edu/publications/books/the-market-for-retirement-financial-advice/).