CFO News Room

DECEMBER 17, 2022

The Commission might also explore what types of experiences meet the Experience requirement, as currently positions focused directly on financial planning work (e.g., paraplanner) count for the same number of hours as those within a planning firm but with little engagement on actual financial planning (e.g.,

Education 130

Education Planning Benchmarking Investments 130

CFO News Room

NOVEMBER 26, 2022

A former DoL official has previously suggested that related changes could include amending the five-part fiduciary test, making adjustments to Prohibited Transaction Exemption 2020-02 (PTE 2020-02) , and reexamining existing PTEs, such as PTE 84-24 (which permits certain commissionable insurance sales in retirement plans).

Mergers and Acquisitions (M&A) 130

Mergers and Acquisitions (M&A) Planning Securities Investments 130

CFO News Room

NOVEMBER 8, 2022

Or should I have the advisors not worry about the workflows, communicate with their CSA the way that they prefer to communicate with the CSA, and then have the CSA spend the time putting the workflow together, and then let the advisor go on to the next client and give that very high-level customer service that are clients are very used to having?

Restructuring 130

Restructuring Planning Marketing Accounting 130