Protecting Your Practice - Vessenes Katherine

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      1

      Phyllis Bernstein, Personal Financial Planning Director, AICPA, supplied the information contained in this section.

      2

      Dick Young, General Counsel, CFP Board of Standards, supplied the information contained in this section.

      3

      Ibid.

      4

      Susan Farmer, Public Relations, American Society of CLU and ChFC, supplied the information contained in this section.

      5

      Ibid.

      6

      Julie Sewing, Administrative Directo

1

Phyllis Bernstein, Personal Financial Planning Director, AICPA, supplied the information contained in this section.

2

Dick Young, General Counsel, CFP Board of Standards, supplied the information contained in this section.

3

Ibid.

4

Susan Farmer, Public Relations, American Society of CLU and ChFC, supplied the information contained in this section.

5

Ibid.

6

Julie Sewing, Administrative Director, IARFC, supplied the information contained in this section.

7

Margery Wasserman, Executive Director, NAPFA, supplied the information contained in this section.

8

Investment Advisers Act Release No. IA-1092 (October 8, 1987).

9

32 M.R.S. § 9752 (1995).

10

MD. Corps. & Ass’ns. Code Ann. § 11-101 (f) (1) (ii) (3).

11

Minn. Stat. § 45.026 and Minn. Rule 2875.105.

12

News Release from Minnesota Commerce Department, May 22, 1990.

13

Jacquelin H. Hallihan and Robert Stirling, “Financial Planning: ‘Gray Areas’ Regarding Investment Adviser Registration,” CFP Today (October 1995): 11- 12.

14

Ibid.

15

Bill E. Carter, “Study Forecasts Broad Future for Financial Planning,” Journal of the American Society of CLU & ChFC (January 1996): 77.

16

International Association for Financial Planning, Profile, undated.

17

Ibid.

18

Code of Ethics and Professional Responsibility, Certified Financial Planner Board of Standards, Inc. (1997): 8.

19

John P. Moriarty and Curtlan R. McNeily, Regulation of Financial Planners, Vol. 19, Securities Law Series (New York: Clark Boardman Callaghan, 1996), 2-6.

20

Investment Advisers Act of 1940 § 217.

21

Section 202(a)(11).

22

Section 202(a)(11)(A) through (F).

23

Section 203(b).

24

Investment Advisers Act Release No. IA-1092 (October 8, 1987).

25

Thomas P. Lemke and Gerald T. Lins, Regulation of Investment Advisers (New York: Clark Boardman Callaghan, 1996), 1-5.

26

Ibid., 1-4.

27

Investment Advisers Act Release No. IA-1092 (October 8, 1987).

28

Lemke and Lins, 1-6.

29

Ibid.

30

Eli P. Bernzweig, The Financial Planner’s Legal Guide (Englewood Cliffs, N.J.: Prentice-Hall,1986), 30.

31

Ibid.

32

Ibid., (citing SEC v. T.W. Howey Co., 328 U.S. 293 (1946)).

33

Ibid., 34.

34

Lemke and Lins, 1-8.

35

Lowe v. SEC, 472 U.S. 181 (1995).

36

Mr. Alfred A. Zurl, 1995 SEC No-Action letter; and Mr. Hugh A. Hoffman, 1995 SEC No-Action letter.

37

Investment Advisers Act Release No. 1092 (October 8, 1987).

38

Ibid.

39

Bernzweig, 35.

40

Lemke and Lins, 1-9 (citing IA Release No. 471 (1975)).

41

Bernzweig, 36 (citing FPC Securities Corp., [1974- 75 Transfer Binder] Para. 80,072, CCH Federal Securities Law Reporter (September 9, 1974)).

42

The author is grateful to John McGovern, formerly of Nathan & Lewis Securities, for providing assistance with this section.

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