Financial plannersSee also what's at Wikipedia, your library, or elsewhere.
Broader term:Related term:Narrower terms:Used for:- Accredited personal financial specialists
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Filed under: Financial planners -- Decision making -- Illinois -- Accounting
Filed under: Financial planners -- Legal status, laws, etc. -- United States- Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992. (U.S. G.P.O. :, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
- Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993. (U.S. G.P.O. :, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
Filed under: Financial planners -- Malpractice -- United States- Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992. (U.S. G.P.O. :, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
- Financial exploitation of the elderly : field hearing before the Subcommittee on General Oversight and Investigations of the Committee on Banking and Financial Services, U.S. House of Representatives, One Hundred Sixth Congress, first session, May 3, 1999. (U.S. G.P.O. :, 1999), by United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on General Oversight and Investigations (page images at HathiTrust)
- SEC oversight of investment advisers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on the unfair practice that exists with some financial planners and the need for Congress to support the SEC through additional funding and staffing for the regulation of the financial planning industry, February 20, 1992. (U.S. G.P.O. :, 1992), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993. (U.S. G.P.O. :, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
Filed under: Financial planners -- United States
Filed under: Financial planners -- United States -- Handbooks, manuals, etc.
Items below (if any) are from related and broader terms.
Filed under: Investment advisors- Use of emerging investment managers (State Universities Retirement System of Illinois, in the 1990s), by State Universities Retirement System of Illinois (page images at HathiTrust)
- Salt of the earth (Grosset & Dunlap, Publishers, 1918), by Mrs. Alfred Sidgwick (page images at HathiTrust)
- On fund manager incentives (Faculty of Economics & Commerce, and Economics Program, Research School of Social Sciences, Australian National University, 1994), by Jürgen Eichberger, Stephen King, and Simon Grant (page images at HathiTrust)
- Professional investment counsel. (Russell, Berg & Cummings, 1932), by Berg & Cummings Russell (page images at HathiTrust)
Filed under: Investment advisors -- Certification -- United States -- FormsFiled under: Investment advisors -- Certification -- United States -- Handbooks, manuals, etc.
Filed under: Investment advisors -- Corrupt practices -- United States- The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009. (U.S. G.P.O. :, 2009), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009. (U.S. G.P.O. :, 2009), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- Assessing the Madoff Ponzi scheme and regulatory failures : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, February 4, 2009. (U.S. G.P.O. :, 2009), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
- Assessing the Madoff Ponzi scheme and the need for regulatory reform (U.S. G.P.O. :, 2011), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
Filed under: Investment advisors -- Corrupt practices -- United States -- Prevention- Advising seniors about their money : who is qualified, and who is not : hearing before the Special Committee on Aging, United States Senate, One Hundred Tenth Congress, first session, Washington, DC, September 5, 2007. (U.S. G.P.O. :, 2008), by United States Senate Special Committee on Aging (page images at HathiTrust)
Filed under: Investment advisors -- Government policy -- United StatesFiled under: Investment advisors -- Illinois
Filed under: Investment advisors -- Illinois -- AccountingFiled under: Investment advisors -- Illinois -- Periodicals
Filed under: Investment advisors -- Law and legislation -- United States
Filed under: Investment advisors -- Legal status, laws, etc. -- United States- Investment advisers act of 1940 and general rules and regulations thereunder as in effect April 1, 1971. (U.S. Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1971), by United States and United States Securities and Exchange Commission (page images at HathiTrust)
- Investment advisers act amendments hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session , on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976. (U. S. Govt. Print. Off., 1976), by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance (page images at HathiTrust)
- Investment advisers act amendments of 1976 hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976. (U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992. (U.S. G.P.O. :, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
- Annual registration updating material for investment advisers (U.S. Securities and Exchange Commission, in the 20th century), by United States. Securities and Exchange Commission. Division of Investment Management (page images at HathiTrust)
- Pension Security Act of 2003 : report together with minority views (to accompany H.R. 1000) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2003), by United States. Congress. House. Committee on Education and the Workforce (page images at HathiTrust)
- Providing for consideration of HR 1000, Pension Security Act of 2003 (U.S. G.P.O., 2003), by United States House Committee on Rules (page images at HathiTrust)
- Pension Security Act of 2002 : report together with minority views (to accompany H.R. 3762) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2002), by United States. Congress. House. Committee on Education and the Workforce (page images at HathiTrust)
- The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996. (U.S. G.P.O. :, 1996), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993. (U.S. G.P.O. :, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
- Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986. (U.S. G.P.O. :, 1986), by Consumer Protection United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications (page images at HathiTrust)
- Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009. (U.S. G.P.O. :, 2010), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
- Retirement Security Advice Act of 2001 : report together with minority views (to accompany H.R. 2269) (including cost estimate of the Congressional Budget Office). (U.S. G.P.O., 2001), by United States. Congress. House. Committee on Education and the Workforce (page images at HathiTrust)
- Providing for consideration of HR 2269, Retirement Security Advice Act of 2001 (U.S. G.P.O., 2001), by United States House Committee on Rules (page images at HathiTrust)
- Investment advisers act amendments of 1976 : hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976. (U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
- HR 2269, the Retirement Security Advice Act (U.S. G.P.O. :, 2002), by United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Employer-Employee Relations (page images at HathiTrust)
- HR 4624, the Investment Adviser Oversight Act of 2012 (Washington, DC : For sale by the Superintendent of Documents, U.S. G.P.O., 2013), by United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
- Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011. (U.S. G.P.O. :, 2012), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises (page images at HathiTrust)
- An Act to Amend the Federal Securities Laws in Order to Promote Efficiency and Capital Formation in the Financial Markets, and to Amend the Investment Company Act of 1940 to Promote More Efficient Management of Mutual Funds, Protect Investors, and Provide More Effective and Less Burdensome Regulation. (U.S. G.P.O. :, 1996), by United States (page images at HathiTrust)
- Investment adviser registration package (Securities and Exchange Commission, 1994), by United States Securities and Exchange Commission (page images at HathiTrust)
- Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010 (U.S. G.P.O. :, 2011), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
- Investment Advisers Act of 1940 and general rules and regulations thereunder. (United States, Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off., in the 20th century), by United States and United States Securities and Exchange Commission (page images at HathiTrust)
Filed under: Investment advisors -- United States- Salt of the earth (Grosset & Dunlap, Publishers, 1918), by Mrs. Alfred Sidgwick (page images at HathiTrust)
- Retirement security : the importance of an independent investment adviser : hearing before the Subcommittee on Health, Employment, Labor, and Pensions, Committee on Education and Labor, U.S. House of Representatives, One Hundred Eleventh Congress, first session, hearing held in Washington, DC, March 24, 2009. (U.S. G.P.O. :, 2009), by Employment United States. Congress. House. Committee on Education and Labor. Subcommittee on Health (page images at HathiTrust)
- Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994. (U.S. G.P.O. :, 1994), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
- The watchdogs didn't bark : Enron and the Wall Street analysts : hearing before the Committee on Governmental Affairs, United States Senate, One Hundred Seventh Congress, second session, February 27, 2002. (U.S. G.P.O., 2002), by United States Senate Committee on Governmental Affairs (page images at HathiTrust)
- Defined benefit pension plan funding levels and investment advice rules : hearing before the Committee on Ways and Means, U.S. House of Representatives, One Hundred Eleventh Congress, first session, October 1, 2009 (U.S. G.P.O. :, 2011), by United States. Congress. House. Committee on Ways and Means (page images at HathiTrust)
- Examining the market power and impact of proxy advisory firms : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, June 5, 2013. ([publisher not identified], 2013), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and United States. Congress. House. Committee on Financial Services (page images at HathiTrust)
- Small account investment management services: recommendations for clearer policies and guidelines; report. (Washington, 1973), by United States. Advisory Committee on Investment Management Services for Individual Investors (page images at HathiTrust)
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