This appeared on FinancialPlanning.com Feb. 2.  Thought it was worth sharing, especially since we discussed it during last week's CFP Ethics Webinar.

The SEC is moving on two fronts to beef up its examinations of investment advisors.

I hope everyone is having a great holiday season and is busy wrapping up end-of-year business so you can take a little time off before the New Year. 

I tried to touch on a few year-end essentials in my recent InSights blog and Linkedin posts.  If you haven’t read them yet, here are the links:

CFP® Ethics CE Webinar

I wanted to give you all a head's up on class that I have coming up tomorrow!.  I will be teaching a webinar titled CFP® Board Code of Ethics and Professional Conduct on Tuesday, October 27, 2-4 pm.

I wanted to remind friends in the Boston area that the day-long CFP Education Extravaganza is coming up next week, October 21, at the Marriott Courtyard in Norwood, MA.

Just a reminder, folks, that my one day CFP Continuing Education Extravaganza in Philadelphia is next week, September 29th.  And, I have been asked this a lot recently, yes, Pope-Ageddon will be over by then and all of the road closures and restrictions in and around the city will be reopened.

We have a full day of speakers and classes planned and with that you will earn:

President Obama is calling on the Department of Labor to crack down on the fees charged by brokers and financial advisers who consulting retirement savers.