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GAO Report: Regulatory Coverage Generally Exists for Financial Planners, But Consumer Protection Issues Remain
U.S. Government Accountability Office [GAO] 
Jan. 27, 2011
51 pages. "This report examines [1] how financial planners are regulated and overseen at the federal and state levels, [2] what is known about the effectiveness of this regulation, and [3] the advantages and disadvantages of alternative regulatory approaches. To address these objectives, GAO reviewed federal and state statutes and regulations, analyzed complaint and enforcement activity, and interviewed federal and state government entities and organizations representing financial planners, various other arms of the financial services industry, and consumers." [GAO-11-235, Jan. 18, 2011]
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