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
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)
White Papers & Research
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)
Policy Issue Briefings
February 22, 2008
CFP Board Issues Expanded Guidance on New Standards of Professional Conduct (PDF | 107KB)
Resources
FPA Privacy ToolKit (Coming Soon!)
Review requirements of the 1999 Gramm-Leach-Bliley Act
(members-only document; requires login)
Federal Issues Archives
Read through professional issues dating back more than two years. (Coming Soon!)
