Tagged with "Financial Planning"

CFP Board Releases New Ethical Guides For Financial Planners

Posted on March 18th, 2022 at 1:39 PM
CFP Board Releases New Ethical Guides For Financial Planners

The Certified Financial Planner Board of Standards (CFP Board) has recently issued three new guides to assist certified financial planners in adhering to professional ethics standards in their practices.

 
 
 

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LATEST NEWS AND ARTICLES

January 6, 2026
SEC Halts Review of Ultra-Leveraged ETFs, Citing Risk Limits

The U.S. Securities and Exchange Commission (SEC) has stepped in to curb the expansion of ultra-leveraged exchange-traded funds, issuing a series of warning letters that effectively block proposed products designed to deliver three- and five-times the daily returns of stocks, commodities, and cryptocurrencies.

January 5, 2026
FINRA Suspends Former UBS Broker Over Personal Credit Card Transfers

The Financial Industry Regulatory Authority (FINRA) has sanctioned a former UBS Wealth Management USA broker, Timothy R. Jones.

December 22, 2025
FINRA Overhauls Arbitration Rules to Rebalance Arbitrator Selection and Codify Forum Practices

The Financial Industry Regulatory Authority (FINRA) has approved significant amendments to its Codes of Arbitration Procedure designed to rebalance public arbitrator selection, increase transparency, and formalize several long-standing practices in the arbitration forum.