Keywords

Continuing education, Ethics, Financial services industry, Investment advisors -- Training of, Responsibility

Abstract

Increased life expectancies and a significant reduction in the number of corporate pension plans nationwide have made the prospects of retirement a challenge for many of us. The burden of funding retirement will move from the corporation or government to the individual. Those individuals with limited financial experience will most likely need the guidance of a financial advisor. Can we trust and rely upon them? Following the 2004 late trading scandal and the 2008 financial meltdown, the Financial Industry Regulatory Authority (“FINRA”) implemented Continuing Education requirements at the advisor level. The intent was to improve the quality and integrity of advisors’ interaction with clients. I have interviewed forty-one advisors at four separate financial services firms to examine the impact of this training on the moral obligations and responsibilities of financial advisors.

Notes

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Graduation Date

2011

Semester

Summer

Advisor

Stanlick, Nancy

Degree

Master of Arts (M.A.)

College

College of Graduate Studies

Degree Program

Interdisciplinary Studies

Format

application/pdf

Identifier

CFE0003907

URL

http://purl.fcla.edu/fcla/etd/CFE0003907

Language

English

Length of Campus-only Access

None

Access Status

Masters Thesis (Open Access)

Subjects

Dissertations, Academic -- Graduate Studies, Graduate Studies -- Dissertations, Academic

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