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Other Policy Letters

Topic
Year
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.”

October 26, 2009

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.”

October 21, 2009

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.

October 21, 2009

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.

July 14, 2009

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.

May 19, 2009

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.

March 23, 2009

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.