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Other Policy Letters

January 30, 2020

NASAA Letter to the NCSL Regarding the NASAA Model Act to Protect Vulnerable Adults From Financial Exploitation and Updated Commentary for the 2020 Legislative Session

May 21, 2018

Joint Letter to SEC Chair Requesting Delay in Comment Deadline for Best Interest Proposal

December 4, 2013

Joint Letter to all Members of Congress Regarding H.R. 1627, the Investment Adviser Examination Improvement Act of 2013

September 30, 2013

Joint Letter to House of Representatives Speaker and Minority Leader Regarding H.R. 2374, the Retail Investor Protection Act

August 8, 2013

Joint Letter to Rep. Ellison Regarding H.R. 2998, the Investor Choice Act of 2013

June 18, 2013

Joint Letter to House Financial Services Committee Chairman and Ranking Member Regarding H.R. 2374, the Retail Investor Protection Act of 2013

June 4, 2013

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

May 18, 2010

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.”

May 14, 2010

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.”

April 23, 2010

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.”