Legislation and Regulation Information

This page is intended to help investors understand the financial services environment and to be aware of current events regarding regulation.

In December of 2008 the National Association of Personal Financial Advisors (NAPFA), the Financial Planning Association (FPA) and the Certified Financial Planner Board of Standards, Inc (CFP Board) formed the Financial Planning Coalition. The coalition was formed to provide the financial planning profession with a strong, unified voice in anticipation of proposals for financial regulation reform, advancing the financial planning profession and enhancing consumer protection by encouraging regulations that will help the public identify those competent, ethical advice-givers who are subject to a fiduciary duty in the delivery of financial planning services. Please visit their website to see the latest updates:

Financial Planning Coalition

Target Date Funds

Recently Target Date Funds have come under fire for their lack of consistency and misconceptions that many investors have related to these funds. For more information, please see links below:

http://online.wsj.com/article/SB124537505263730049.html

http://www.cfp.net/media/release.asp?id=218

Want to let your Congress person know you support the Fiduciary Standard?

Letter to Congressperson - Fiduciary Standard, PLEASE!
Download a copy of this letter and send it to your congress person and let them know how you feel. Need help locating your congress person? Try this link: http://www.usa.gov/Contact/Elected.shtml
Standard of Care: Fiduciary vs. Suitability
Ever wonder who's best interest is being served?
Mutual Fund Terminology
If you aren't paying your advisor, just how are they getting paid?

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Legislation and Regulation Information

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