Many elements of a financial planning practice are affected directly by state legislatures and regulatory agencies, even if you are affiliated with an SEC-registered investment advisory firm.

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

Comment Letters & Testimony

December 29, 2011

FPA Comment Letter to Washington State Insurance Office (PDF | 50KB) 

September 1, 2009  

FPA of Michigan Letter to Gov. Granholm Opposing Tax on Financial Services (PDF | 81KB) 

August 17, 2009

FPA Comment Letter to NASAA Suggesting an Amendment to the Proposed Model Rules on Investment Adviser Solicitors (PDF | 77KB) 

October 31, 2008

FPA Comment Letter to Kentucky Department of Insurance Opposing Proposed Rule Recognizing Certain Financial Planning Certifications and Designations (PDF | 87KB) 

July 28, 2008

FPA Comment Letter to Washington State's Department of Finanical Institutions re: Proposed Changes to Holding-out Rule and New Senior Designation Rule (PDF | 80KB) 

March 11, 2008

FPA of Minnesota Resolution Relating to RAND Study (PDF | 109KB) 

January 23, 2008

Testimony to District of Columbia's Council on Financial Education in D.C. (PDF | 63KB)

December 10, 2007

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

March 22, 2007

FPA Letter of Support for Hawaii House Bill 273, a Bill Improving Standards for the
Purchase or Exchange of Annuities (PDF | 56KB)

General Resources

• State Budget Gaps for FY2009 Mid-year & FY2010 Projected (PDF | 96KB)
• FPA's Template on "How to Host a Financial Planning Day at your State Capitol" (Word Doc | 2MB)