Regulatory ReformTax Issues
Comment Letters & TestimonyPublic Policy
Regulatory Reform
August 2011
Sen. Spencer Bachus Letter to SEC re: Fiduciary Standard for Broker-Dealers (PDF | 137KB)
September 15, 2010
Fiduciary Survey News Release (PDF | 47KB)
National Opinion Survey on U.S. Investors & Fiduciary Standard (PDF | 309KB)
September 12, 2010
FPA Comment Letter to Treasury Department on Financial Education Core Competencies (PDF| 98KB)
August 6, 2010
FPA Summary of the Dodd-Frank Financial Reform and Consumer Protection Act (PDF | 46KB)
June 15, 2010
FPA Letter to Conference Committee re: Adviser Fees (PDF | 49KB)
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)
Tax Issues
September 6, 2011
FPA Comment Letter to Judiciary Committee Re: H.R. 1249, the America Invents Act (PDF | 306KB)
June 21, 2011
Tax Strategy Patent Coalition Letter in Opposition to Polis Amendment (PDF | 90KB)
February 23, 2011
Savings Coalition of America Letter re: President Obama's Budget Proposals (PDF | 31KB)
February 18, 2011
FPA News Release on Repealing Expanded 1099 Requirements (PDF | 30KB)
February 4, 2011
FPA News Release on Tax Patent Strategies (PDF | 30KB)
February 2, 2011
National Coalition Letter re: Tax Strategy Patents (PDF | 256KB)
December 17, 2010
Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010 (PDF | 96KB)
July 28, 2010
FPA Letter Supporting the Extension of the 15% Capital Gains & Dividends Tax Rate (PDF | 30KB)
May 27, 2010
FPA Letters to Bill Sponsors re: Independent Contractor Status (PDF | 147KB)
September 28, 2010
Joint Letter to Congress to Ban Tax Strategy Patents (PDF | 298KB)
September 27, 2010
FPA Summary of the Small Business Jobs Act (PDF | 153KB)
October 7, 2009
FPA Comment Letter to Senate Finance Committee and House Ways and Means Committee re: Estate Tax Reform (PDF | 42KB)
February 13, 2009
Highlights of Tax Title of Economic Recovery Agreement (PDF | 39KB)
Comment Letters & Testimony
April 13, 2011
Testimony of Mark Johannessen before the House Ways & Means Committee (PDF | 103KB)
November 5, 2010
FPA Comment Letter on Proposed Revisions to 12b-1 Fee (PDF | 44KB)
August 30, 2010
Comment Letter on SEC Study of BD and IA Standards of Care/Fiduciary Duty
May 5, 2010
FPA Letter to Department of Labor re: Investment Advice Proposed Rule (PDF | 90KB)
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)
April 30, 2009
FPA Letter to Chairman Schapiro on IA Custody Issues (PDF | 118KB)
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)
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 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
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
April 12, 2007
Public Policy
October 8, 2008
Summary of Major Provisions for the Emergency Economic Stabilization Act of 2008 (PDF | 70KB)
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)
