Practice by a financial planner is not just governed by law and regulation. Professional standards, practices and ethics are an important component of a daily practice. FPA strives to be at the forefront of the profession in promoting the highest standards of conduct. Keeping you apprised of developments relating to financial planning practice is important in furthering that goal.

Comment Letters & Testimony

October 2, 2009

FPA Comment Letter to CFP Board re: Proposed Financial Plan Development Course Requirement (PDF | 51KB) 

December 10, 2007

FPA Comment Letter to NASAA on Senior-specific Certifications and Professional Designations (PDF | 60KB)

November 16, 2007

FPA Comment Letter to Treasury on Regulatory Reform (PDF | 132KB)

White Papers & Research

August 16, 2007

FPA Financial Planning Standards of Conduct Task Force Supplemental Report on Financial Planner Standards of Conduct (PDF | 135KB)

June 1, 2007

FPA Fiduciary Task Force Final Report on Financial Planner Standards of Conduct (PDF | 699KB)

March 15, 2007

FPA President Nicholas Nicolette's Letter to FPA Members Regarding New Fiduciary Issues Developments (PDF | 34KB)

March 13, 2007

FPA Fiduciary Task Force Preliminary Report on Financial Planner Standards of Conduct (PDF | 956KB)

Resources

February 22, 2008

CFP Board Issues Expanded Guidance on New Standards of Professional Conduct (PDF | 107KB)

Principal Trades Brochure (PDF | 91KB)

Policy Issue Briefings

Please check back.