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Financial planners

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• Planners

• Investment advisors

• Accredited personal financial specialists

• 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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1992), by Housing United States. Congress. Senate. Committee on Banking (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1999), by United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on General Oversight and Investigations (page images at HathiTrust)
• Management audit : Illinois School District Liquid Asset Fund Plus. (Springfield, IL : State of Illinois, Office of the Auditor General, 2005), by Illinois. Office of the Auditor General and Illinois School District Liquid Asset Fund Plus. Management audit (page images at HathiTrust)
• Financial planners and investment advisers : hearing before the Subcommittee on Consumer Affairs of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundredth Congress, second session ... July 26, 1988. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1988), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Doctors, dollar$ & sense : educational debt and long-term financial planning. ([Rockville, MD] : U.S. Dept. of Health and Human Services, Health Resources and Services Administration, [1997]), by United States. Health Resources and Services Administration (page images at HathiTrust)

Items below (if any) are from related and broader terms.

• 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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1996), by Housing United States. Congress. Senate. Committee on Banking (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). ([Washington, D.C. : U.S. G.P.O., 2002-), by United States. Congress. House. Committee on Education and the Workforce (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). ([Washington, D.C. : U.S. G.P.O., 2001-), by United States. Congress. House. Committee on Education and the Workforce (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1993), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1992), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1992), by Housing United States. Congress. Senate. Committee on Banking (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. (Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994), by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance (page images at HathiTrust)
• The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005), 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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• How secure is your retirement : investments, planning, and fraud? : hearing before the Special Committee on Aging, United States Senate, One Hundred Third Congress, first session, Washington, DC, May 25, 1993. (Washington : U.S. G.P.O. : [U.S. G.P.O., Supt. of Docs., Congressional Sales Office, distributor], 1993), by United States Senate Special Committee on Aging (page images at HathiTrust)
• 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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2008), by United States Senate Special Committee on Aging (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Report to Governor and General Assembly on the use of emerging investment managers. (Champaign, Ill. : State Universities Retirement System of Illinois), by State Universities Retirement System of Illinois (page images at HathiTrust)
• Fair and equitable tax policy for America's working families : hearing before the Committee on Ways and Means, U.S. House of Representatives, One Hundred Tenth Congress, first session, September 6, 2007. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2008), by United States. Congress. House. Committee on Ways and Means (page images at HathiTrust)
• Report on emerging investment managers. (Chicago, Ill. : Illinois State Board of Investment,), by Illinois. State Board of Investment and State Retirement Systems of Illinois (page images at HathiTrust)
• Management audit : Illinois School District Liquid Asset Fund Plus. (Springfield, IL : State of Illinois, Office of the Auditor General, 2005), by Illinois. Office of the Auditor General and Illinois School District Liquid Asset Fund Plus. Management audit (page images at HathiTrust)
• National Securities Markets Improvement Act of 1996. ([Washington, D.C.? : U.S. G.P.O. : Supt. of Docs., U.S. G.P.O., distributor, 1996]), by United States (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, 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)
• 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. (Washington : U.S. G.P.O. For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2002), by United States Senate Committee on Governmental Affairs (page images at HathiTrust)
• Investment adviser registration package (Washington, D.C. : 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 (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (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 (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011), by United States. Congress. House. Committee on Ways and Means (page images at HathiTrust)
• Meeting on assessing the Madoff Ponzi scheme and the need for regulatory reform : Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, January 5, 2009 (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011), by United States. Congress. House. Committee on Financial Services (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. ([Place of publication not identified] : [publisher not identified], [2014?]), by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises author 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)
• H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012., 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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., 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)
• Annual registration updating material for investment advisers / (Washington, D.C. : U.S. Securities and Exchange Commission, [1990]), by United States. Securities and Exchange Commission. Division of Investment Management (page images at HathiTrust)
• Annual registration updating material for investment advisers / (Washington, D.C. : U.S. Securities and Exchange Commission, [2000]), by United States. Securities and Exchange Commission. Division of Investment Management (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. (Washington : U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (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). ([Washington, D.C. : 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 H.R. 1000, Pension Security Act of 2003 : report (to accompany H. Res. 230). ([Washington, D.C. : U.S. G.P.O., 2003]), by United States House Committee on Rules (page images at HathiTrust)
• Perspectives on hedge fund registration : 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, May 7, 2009. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010), by Insurance United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets (page images at HathiTrust)
• Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on analyzing the SEC's oversight and examination of the activities of Bernard L. Madoff and Bernard L. Madoff Investment Securities, LLC and why it failed to identify the Ponzi scheme, and to assess recommendations for how to improve the regulatory performance of the SEC, September 10, 2009. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Providing for consideration of H.R. 2269, Retirement Security Advice Act of 2001 : report (to accompany H. Res. 288). ([Washington, D.C. : U.S. G.P.O., 2001]), by United States House Committee on Rules (page images at HathiTrust)
• Investment Advisers Act of 1940 and general rules and regulations thereunder. (Washington : United States, Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off.), by United States and United States Securities and Exchange Commission (page images at HathiTrust)
• Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters / (Washington, D.C. : The Office, [1990]), by United States General Accounting Office (page images at HathiTrust)
• H.R. 2269, the Retirement Security Advice Act : hearing before the Subcommittee on Employer-Employee Relations of the Committee on Education and the Workforce, House of Representatives, One Hundred Seventh Congress, first session, hearing held in Washington, DC, July 17, 2001. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2002), by United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Employer-Employee Relations (page images at HathiTrust)
• On fund manager incentives / (Canberra, Australia : 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. (Boston, [etc.] Russell, Berg & Cummings, 1932), by Berg & Cummings Russell (page images at HathiTrust; US access only)
• Annual registration updating material for investment advisers / (Washington, D.C. : U.S. Securities and Exchange Commission,), by United States. Securities and Exchange Commission. Division of Investment Management (page images at HathiTrust)
• Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds. ([Washington, D.C.?] : The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, [1998]), by United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations (page images at HathiTrust)
• Investment advisers act amendments [microform] : 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. (Washington : 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 adviser directory. (Washington, D.C. : Securities and Exchange Commission.), by United States Securities and Exchange Commission (page images at HathiTrust)
• Investment advisers act of 1940 and general rules and regulations thereunder as in effect April 1, 1971. (Washington, U.S. Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1971), by statutes United States. Laws and United States Securities and Exchange Commission (page images at HathiTrust; US access only)
• Investment advisers act amendments of 1976 [microform] : 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. (Washington : U.S. Govt. Print. Off., 1976), by Housing United States. Congress. Senate. Committee on Banking (page images at HathiTrust)
• Mutual funds : trading practices and abuses that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, first session, November 3, 2003. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2004), by the Budget United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009), by Housing United States. Congress. Senate. Committee on Banking (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. (Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009), by Employment United States. Congress. House. Committee on Education and Labor. Subcommittee on Health (page images at HathiTrust)
• Statutory regulation of investment counselors. (Springfield, Ill. : The Council, [1939]), by Illinois. General Assembly. Legislative Council. Research Department (page images at HathiTrust; US access only)
• Salt of the earth, (New York, Grosset & Dunlap, Publishers, [1918?]), by Mrs. Alfred Sidgwick (page images at HathiTrust)

More items available under broader and related terms at left.