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

July 28, 2008

Comment Letter to Department of Financial Insitutuions re: Proposed Changes to Holding-out Rule and new Senior Designation Rule (PDF | 80KB)

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)

September 5, 2007

FPA Testimony Before the U.S. Senate Special Committee on Aging (PDF | 75KB)

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

• FPA's Template on "How to Host a Financial Planning Day at your State Capitol" (Word Doc | 2MB)
• Advertisement Examples for Financial Planning Day: MA Day (PDF | 234KB), FPA Lottery (PDF | 74KB), FPA Fortune (PDF | 57KB)