NotesFAQContact Us
Search Tips
Peer reviewed Peer reviewed
PDF on ERIC Download full text
ERIC Number: EJ1057570
Record Type: Journal
Publication Date: 2015
Pages: 4
Abstractor: As Provided
Reference Count: N/A
ISSN: ISSN-1942-2504
An Overview of Fiduciary Standards and Suitability for Financial Planning Students
Chong, James T.; Jennings, Penelope R.; Phillips, G. Michael
American Journal of Business Education, v8 n2 p107-110 2015
Financial planning is an interdisciplinary field including finance and business law topics. Consequently, standard pedagogical resources often omit topics that fall between these fields. To address a key gap in educational materials for financial planning students and faculty, this article reviews recent regulatory developments for financial planning students, including strengthened fiduciary standards and FINRA suitability requirements. The discussion introduces FINRA 2090, FINRA 2111, the Uniform Prudent Investor Act, and other widely adopted fiduciary-oriented model laws. The article concludes with a discussion of implications for financial planning professors and students.
Clute Institute. 6901 South Pierce Street Suite 239, Littleton, CO 80128. Tel: 303-904-4750; Fax: 303-978-0413; e-mail:; Web site:
Publication Type: Journal Articles; Reports - Descriptive
Education Level: Higher Education; Postsecondary Education
Audience: N/A
Language: English
Sponsor: N/A
Authoring Institution: N/A