The Government Relations office of FPA, based in Washington, D.C., exclusively represents the financial planning profession and its members' interests before federal and state regulators and lawmaking bodies.

Key Topics

Oversight of Investment Advisers. Congress is considering creating a Self Regulatory Organization (SRO) to oversee Investment Advisers.

• BCG press release, study & survey on IA Oversight
• Background of efforts to increase Investment Adviser oversight 

Uniform Fiduciary Duty for Personalized Investment Advice.  In the Dodd-Frank financial regulatory reform bill, Congress required the SEC to study whether or not a fiduciary standard should be required for all personalized investment advice provided to consumers.

• Outline Framework for Uniform Fiduciary Standard to SEC
• FPA Summary of the Dodd-Frank Financial Reform and Consumer Protection Act

Other Policy Issues

Use the links below to find other policy issues affecting financial planners

State Issues
Find recent legislative or regulatory activity of FPA involving either model state laws or rules or state-specific FPA lobbying activity.

Federal Issues

Find policy papers, comment letters and testimony, and white papers and research that will keep you up to date on financial planning industry trends and regulations.

Professional Issues
Stay apprised of professional standards, best practices and ethics, all important components of a daily practice.

Grassroots Efforts (Password Protected)
Help change policy from the ground up.

FPA-PAC
FPA-PAC is the federally registered political action committee of FPA, the only registered PAC on Capitol Hill representing the interests of the financial planning profession. 

Compliance (Password Protected)
Get compliance guidance on financial planning regulations and federal and state issues affecting your practice.

Capitol Update Newsletter (Password Protected)
Read through the Capitol Update newsletter for the latest summary of tax, securities, pension, insurance and professional issues.

Questions

To contact the FPA Government Relations office, please email FPA@Rabengroup.com.