Joint Policy Letters

 

 12/04/13 Joint Letter to all Members of Congress Regarding H.R. 1627, the Investment Adviser Examination Improvement Act of 2013
   
09/30/13 Joint Letter to House of Representatives Speaker and Minority Leader Regarding H.R. 2374, the Retail Investor Protection Act
   
08/08/13 Joint Letter to Rep. Ellison Regarding H.R. 2998, the Investor Choice Act of 2013
 
06/18/13 Joint Letter to House Financial Services Committee Chairman and Ranking Member Regarding H.R. 2374, the Retail Investor Protection Act of 2013
   
06/04/13 Joint Letter to SEC Chair Mary Jo White Regarding Section 913 of the Dodd-Frank Act and the Duties of Brokers, Dealers, and Investment Advisers 
   
05/18/10 Joint Letter with the Certified Financial Planner Board of Standards, the Consumer Federation of America, Investment Adviser Association, the Financial Planning Association, and the National Association of Personal Financial Advisors to the US Senate Opposes the Collins Amendment (Fiduciary Duty) to S. 3217, “The Restoring American Financial Stability Act of 2010.”
   
05/14/10 Joint Letter with the Consumer Federation of America to the US Senate in opposition to the Harkin/Johanns/Leahy Amendment (Equity Indexed Annuities) to S. 3217, “The Restoring American Financial Stability Act of 2010.” 
   
04/23/10 Joint Letter with the Consumer Federation of America, the National Association of Secretaries of State, and the AARP to the US Senate Urging Support for the Akaka-Menendez Amendment to S. 3217, “The Restoring America’s Financial Stability Act.
   
10/26/09 Joint Letter with the Certified Financial Planner Board of Standards, the Consumer Federation of America, the Investment Adviser Association, the Financial Planning Association, and the National Association of Personal Financial Advisors to House Financial Services Chairman Barney Frank (D-MA) and Ranking Member Spencer Bachus (R-AL) and Subcommittee on Capital Markets Chairman Paul Kanjorski (D-PA) and Ranking Member Scott Garrett (R-NJ) Regarding H.R. 3817, “The Investor Protection Act.” 
   
10/21/09 Joint Letter with Fund Democracy, the Consumer Federation of America, Consumer Action, the Virginia Citizens Consumer Council, the Consumer Federation of the Southeast, and the AFL-CIO to Senator Daniel Akaka (D-HI) Regarding the Mutual Fund Transparency Act of 2009.
   
 10/21/09 Joint Letter with the Certified Financial Planner Board of Standards, the Consumer Federation of America, the Financial Planning Association, Fund Democracy, and the National Association of Personal Financial Advisors to Senator Daniel Akaka (D-HI) Regarding Fiduciary Duty. 
   
 07/14/09 Joint Letter with the Certified Financial Planner Board of Standards, the Consumer Federation of America, the Financial Planning Association, Fund Democracy, the Investment Adviser Association, and the National Association of Personal Financial Advisors to the House Financial Services Committee Regarding President Obama’s Fiduciary Duty Proposal.
   
 05/19/09 Joint Letter with the Conference of State Bank Supervisors and the National Association of Insurance Commissioners to the Senate Banking and House Financial Services Committees Regarding State Role on Systemic Risk Council.
   
 03/23/09 Joint Letter with the Investment Adviser Association and the Consumer Federation of America to the Senate Banking Committee Regarding Legal Standards of Care Owed to Investors by Broker-Dealers and Investment Advisers.
   
 08/16/06 Joint Letter with the Conference of State Bank Supervisors and National Association of State Credit  Union Supervisors to House Speaker Dennis Hastert (R-IL) Regarding the Development of a National Data Security Law.