Financial Planning Coalition’s efforts – including original research, testimony and comment letters – have fostered continued dialogue around financial planning policy issues with key policymakers and industry stakeholders.
2016
22 April 2016 Letter to House of Representatives Urging Opposition to Resolution of Disapproval of DOL Fiduciary Rule
18 April 2016 Significant Changes in Final DOL Fiduciary Rule
22 February 2016 Letter to Democratic Members of Congress Opposing H.R. 4293 and H.R. 4294
2015
7 December 2015 Letter to Congress Opposing Additional Delays to DOL Fiduciary Rule
2 December 2015 Testimony before the Subcommittee on Health, Employment, Labor, & Pensions Urging Congress Not to Intervene with the DOL Fiduciary Rule
29 October 2015 Letter Urging Members Not To Sign Dear Colleague Calling for Additional Comment Period for Fiduciary Rule
26 October 2015 Letter to Democratic Members of Congress Opposing H.R. 1090
16 October 2015 Letter to Senate Members Opposing Rider on Funding Bill or Any Legislation to Delay Final DOL Fiduciary Rule
16 October 2015 Letter to House of Representatives Members Opposing Rider on Funding Bill or Any Legislation to Delay Final DOL Fiduciary Rule
29 September 2015 Letter to House Financial Services Committee Opposing H.R. 1090
24 September 2015 Joint Supplemental Comment Letter to the Department of Labor Supporting the Re-Proposed Fiduciary Rule
10 August 2015 Testimony during the Department of Labor public hearings on the Re-Proposed Fiduciary Rule
21 July 2015 Joint Comment Letter to the Department of Labor on the Re-Proposed Fiduciary Rule
21 July 2015 Princeton Survey Research Associates International – Fiduciary Standard Survey
2014
25 November 2014 Joint Letter to SEC Chair Mary Jo White on Division of Economic and Risk Analysis (DERA) Fiduciary Analysis
20 October 2014 White Paper: Consumers Are Confused and Harmed Two-Page Graphic Summary: Amid Surge in Demand for Financial Planners, Consumers Are Harmed by Lack of Appropriate Regulatory Standards
25 July 2014 Letter to Sens. Mikulski (D-MD) and Shelby (R-AL) regarding Fiscal Year 2015 SEC Appropriations
14 April 2014 Joint Letter to SEC on Evidence of Investor Harm due to Lack of a Uniform Fiduciary Standard
2013
July 2013 Aite Group Uniform Fiduciary Standard Research Summary
11 March 2013 Financial Planning Coalition March 2013 Investor Protection Survey Topline Results
2012
1 May 2012 Stakeholder Communication: Join Coalition in Opposing Investment Adviser SRO Legislation FINRA Investment Adviser SRO Cost Reconciliation by The Boston Consulting Group Comparison Chart: FINRA “Investment Estimate” and Analysis by The Boston Consulting Group
20 April 2012 Stakeholder Communication: Financial Planning Coalition Advocacy Report
28 March 2012 Letter to SEC Outlining Framework for Uniform Fiduciary Standard
2011
15 December 2011 Boston Consulting Group Research on Investment Adviser Oversight
29 November 2011 Stakeholder Communication: Financial Planning Coalition Advocacy Report
14 September 2011 Financial Planning Coalition Statement for House Capital Markets Subcommittee Hearing on Investment Adviser Oversight and Fiduciary Duty
23 June 2011 Letter to SEC Sharing Petition Supporting a Fiduciary Standard for Financial Professionals
28 March 2011 Introductory Letter to Members of Congress
8 March 2011 Letter Urging Congress to Provide Adequate Funding to SEC
27 January 2011 Stakeholder Communication: Update on Dodd-Frank Studies
18 January 2011 Financial Planning Coalition Responds to GAO Study on Financial Planning
2010
16 December 2010 Letter to SEC Regarding Dodd-Frank Act SRO Study
1 December 2010 Comment Letter to the SEC on SIFMA Impact Assessment
15 September 2010 National Opinion Survey on U.S. Investors & Fiduciary Standard
30 August 2010 Letter to the SEC Requesting Fiduciary Standard of Care Requirement
15 July 2010 Stakeholder Communication: Congress Passes Financial Regulatory Reform Legislation
14 June 2010 Joint Letter in Support of Inclusion of Fiduciary Standard in Final Reform Legislation
24 March 2010 Stakeholder Communication: Coalition Update Regarding the “Financial Planners Act of 2010” in the Senate Bill
24 February 2010 Stakeholder Communication: Financial Planning Coalition Continues to Push for a Regulated Financial Planning Profession
16 February 2010 Letter to Congress Sharing Survey Results Showing Strong Public Support for Financial Planning Standards in Regulation Bill
7 January 2010 Myth-Fact around the Restoring American Financial Stability Act of 2009
2009
16 December 2009 Stakeholder Communication: Financial Planning Coalition Influences Financial Services Legislation in Congress
5 November 2009 Stakeholder Communication: Financial Planning Coalition Update Regarding the Investor Protection Act of 2009
3 November 2009 Letter Opposing FINRA Oversight of Investment Advisers
3 November 2009 Letter Warning Against Weakening Fiduciary Standard in the Investor Protection Act
28 October 2009 Letter Expressing Support for a Fiduciary Standard for Brokers Providing Investment Advice
19 October 2009 Financial Planning Coalition’s Call to Action: Financial Planner Oversight Board