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

September 30, 2012

Letter to CFP^® Board re: Proposed Revisions to CFP^® Board's Continuing Education Requirements 

(PDF | 137KB) 

June 14, 2012

Letter to CFP^® Board re: Proposed Sanction Guidelines (PDF | 137KB) 

February 17, 2012

Letter to CFP^® Board re: Proposed Changes to Bankruptcy Procedure (PDF | 201KB) 

September 19, 2011

Letter to CFP^® Board re: Experience Requirement Change (PDF | 201KB) 

September 15, 2010

Fiduciary Survey News Release (PDF | 47KB)

National Opinion Survey on U.S. Investors & Fiduciary Standard (PDF | 309KB)

August 30, 2010

Comment Letter on SEC Study of BD and IA Standards of Care/Fiduciary Duty

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)

Public Policy 

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)