Who regulates or overseas financial advisers?

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Who regulates or overseas financial advisers?
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New York - There are several governmental, professional and trade organizations that regulate or oversee financial advisers. We list them below:

Government Regulators
The Securities Exchange Commission ("SEC"), the National Association of Securities Dealers
("NASD"), the Commodities Futures Trading Commission ("CFTC") and the North American State Securities Administrators ("NASSA") all have some type of regulations that affect financial advisers. They all maintain various databases that track certain disciplinary action.
Professional, Trade and Private Organizations
The Institute of Certified Financial Planners - This organization will provide background information on up to three planners in your area who is registered as a Certified Financial Planner or ("CFP"). The toll-free number for this organization is 1-800-282-7526.

The International Association for Financial Planning This trade group will provide
a list of planner in your geographic area and will also provide you with additional helpful hints on selecting one. Any planner referred will be a member of the IAFP. The toll-free number for this organization is 1-800-945-4237.

The National Association of Personal Financial Advisors ("NAFPA") will provide
the names of financial planers whose fees are paid directly by you and not commissions from
investments they recommend. They will also provide additional questions to ask a potential adviser. You can reach this trade group at 1-888-333-6659.

The American Institute of Certified Public Accountants has a licensed program for CPAs who specialize in financial planning. These CPA's receive a special designation and are referred to as personal financial specialists. The AICPA will provide you a list of CPAs in your area who meet this criteria by calling 1-800-862-4272.

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