Washington, D.C., is at the center of numerous laws and regulations that affect FPA members and their practices, whether these are changes to the federal tax code, pension or securities laws, or the insurance industry. Find policy papers, comment letters and testimony, and white papers and research that will keep you up to date on industry trends and regulations.

Regulatory Reform  

June 15, 2010

FPA Letter to Conference Committee re: Adviser Fees (PDF | 49KB) 

May 27, 2010

FPA Letters to Bill Sponsors re: Independent Contractor Status (PDF | 147KB) 

May 6, 2010

Long-term Care Provision in Health Care Reform Bill  (PDF | 68KB) 

March 26, 2010

Summary of the Patient Protection and Affordable Care Act (PDF | 74KB)  

March 24, 2010

Coalition update on financial regulatory reform legislation: "Restoring American Financial Stability Act of 2010". (PDF | 68KB)

October 1, 2009 

Amendment to the Discussion Draft [Investor Protection Act of 2009]: Offered by Mr. Capuano of Mass. 
(PDF | 17KB)  

June 18, 2009 

FPA Summary of President Obama's Plan for Regulatory Reform (PDF | 52KB)  

Comment Letters & Testimony

July 28, 2010

FPA Letter Supporting the Extension of the 15% Capital Gains & Dividends Tax Rate (PDF | 30KB) 

May 5, 2010

FPA Letter to Department of Labor re: Investment Advice Proposed Rule  (PDF | 90KB) 

November 3, 2009

Coalition Letter Opposing FINRA Oversight of Advisers to House Financial Services Committee (PDF |69KB)

October 26, 2009 

Joint Coalition Letter in Support of Fiduciary Duty for Brokers to House Financial Services Committee (PDF |82KB)

October 7, 2009  

FPA Comment Letter to Senate Finance Committee and House Ways and Means Committee re: Estate Tax Reform (PDF | 42KB)

August 17, 2009

FPA Letter to SEC on FINRA Enforcement  (PDF | 117KB) and SEC's response to FPA Letter on FINRA Enforcement  (PDF | 421KB)

July 28, 2009

FPA Letter to SEC on Custody Rule Amendments (PDF | 212KB)

July 14, 2009  

Joint Letter in Support of Consumer Protection Legislation (PDF | 89KB)

July 1, 2009

Financial Planning Coalition Update to Members (PDF | 67KB)  

April 30, 2009  

FPA Letter to Chairman Schapiro on IA Custody Issues (PDF | 118KB)  

April 27, 2009 

Financial Planning Coalition Outline Agenda (PDF | 52KB)                                       

March 5, 2009

Financial Planning Coalition Regulatory Update (PDF | 155KB) 

February 25, 2009  

FPA Board member Deena Katz, CFP® testimony to Senate Special Committee on Aging (PDF | 85KB) 

FPA Government Relations Chair Andrew Keeler, CFP® testimony to House Small Business Committee (PDF | 74KB) 

February 13, 2009

Highlights of Tax Title of Economic Recovery Agreement (PDF | 39KB) 

Detailed Description of All Tax Provisions in Economic Recovery Bill

Final Legislative Text of Tax Provisions in Economic Recovery Bill

January 23, 2009

Letter to Senate Finance Committee re: Alternative Minimum Tax (PDF | 42KB) 

January 21, 2009

Letter to House Committee on Ways and Means re: Alternative Minimum Tax (PDF | 42KB) 

October 30, 2008

Comment Letter to SEC re: Reserve Fund Relief (PDF | 67KB) 

Comment Letter to Treasury re: Temporary Guarantee Program for Money Market Fund (PDF | 77KB) 

October 8, 2008  

Summary of Major Provisions for the Emergency Economic Stabilization Act of 2008 (PDF | 70KB) 

October 6, 2008  

Comment Letter to Department of Labor re: Fiduciary Adviser Rule (PDF | 166KB) 

September 22, 2008   

Coalition Letter to SEC on Money Market Fund Transparency (PDF | 104KB) 

September 16, 2008  

Comment Letter to SEC re: Temporary Rule Regarding Principal Trades with Certain Advisory Clients (PDF | 96KB) 

September 10, 2008

Comment Letter to SEC re: Indexed Annuities and Certain Other Insurance Contracts (PDF | 171KB)

June 13, 2008

Comment Letter to FINRA re: Regulatory Notice 08-24 (PDF | 131KB) 

May 16, 2008 

FPA Comments on Overhaul to Form ADV, Part 2 and Adviser Disclosures (PDF | 140KB)

May 12, 2008

FPA Comments on Regulations S-P, Client Privacy and Account Transfers (PDF | 133KB)

March 11, 2008  

FPA of Minnesota Resolution Relating to RAND study (PDF | 133KB)

February 20, 2008

FPA Comment Letter to EBSA on 408(b)(2) Fee Disclosure (PDF | 125KB)

February 12, 2008

FPA Comment Letter to SEC Regarding Special Compensation for Brokerage Services and
Recent Interpretative Guidance by the Agency (PDF | 340KB)

November 30, 2007

FPA Comment Letter to SEC on Principal Trading Relief Rule (PDF | 89KB)

November 16, 2007

FPA Comment Letter to Treasury on Regulatory Reform (PDF | 44KB)

November 2, 2007

FPA Comments to SEC on Proposed Amendments to Advisers Act Rule 202(a)(11)-1 (PDF | 73KB)

September 5, 2007

FPA Testimony Before the U.S. Senate Special Committee on Aging (PDF | 75KB)  

July 27, 2007

FPA Letter to the SEC Regarding Possible Action on Principal Trading Relief (PDF | 52KB)

May 30, 2007

FPA Comment Letter to the SEC Addressing an Interagency Proposal for a Model Privacy Form (PDF | 63KB)

April 25, 2007

FPA Comment Letter to CFP Board Relating to Second Exposure Draft of Proposed Revisions to CFP Board's Standards of Professional Conduct (PDF | 105KB)

April 12, 2007

FPA Comment Letter to the Department of Treasury Addressing the Financial Literacy and Education Commission Request for Comments (PDF | 61KB)

Please Note: For comment letters and testimony dating back more than two years, please e-mail Jennifer.Rudolph@FPAnet.org.

White Papers & Research

• Financial Regulatory Reform: A New Foundation (PDF | 2.1MB) 
• Executive Summary of Financial Regulation Reform (PDF | 49KB)
• Strengthening Consumer Protection Fact Sheet (PDF | 87KB)
• Strengthening Regulation of Core Markets and Market Infrastructure Fact Sheet (PDF | 85KB)
• Improving International Regulatory Standards and Cooperation Fact Sheet (PDF | 76KB)
• Requiring Strong Supervision and Regulation of All Financial Firms Fact Sheet (PDF | 98KB)
• Providing the Government with Tools to Effectively Manage Financial Crisis Fact Sheet (PDF | 80KB)
• 2008 FPA Tax Issues Survey (PDF | 1MB)
• FPA White Paper on Tax Reform Panel Proposals (PDF | 175KB)
• Latest GAO Report on Social Security Reform (PDF | 3.1MB)
• FPA White Paper on Financial Literacy and the Life Cycle (submitted to 2005 White House Conference on Aging) (PDF | 29KB)
• Regulation of Financial Planners (PDF | 21KB)

Policy Papers

Please check back.