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2010 Industry Issues


 
 
December 20, 2010
NAPFA Comment Letter - Temporary Rule Regarding Principal Trades with Certain Advisory Clients 
 
December 14, 2010
Study on Enhancing Investment Adviser Examinations Under Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
 
November 30, 2010
FPC Letter - SIFMA Impact Assessment 
 
November 8, 2010
NAPFA Comment Letter - Mutual Fund Distribution Fees; Confirmation 
 
September 15, 2010
SEC Letter - Fiduciary Survey Findings
 
August 30, 2010
NAPFA comment letter - The Economic Imperative for the Application of the Fiduciary Standard of Conduct to all Providers of Investment Advice  
 
June 21, 2010
NAPFA comment letter - Oppose Efforts to Preempt SEC Authority Over Equity Indexed Annuities
 
June 16, 2010
SEC Letter - Eliminate Proposed Fee Assessments on RIAs
 
May 5, 2010
Investment Advice - Participants and Beneficiaries 
 
January 27, 2010
NAPFA joins group exposing Myths & Facts concerning the Fiduciary Debate

Events