Public Policy

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Issue

Financial Planning Coalition Asks that SEC Extend Fiduciary Standard of Care to Broker-Dealers

Aug 30, 2010

On August 30, 2010, the Financial Planning Coalition, in a letter to the Securities and Exchange Commission (SEC), is asking that the fiduciary standard of care—a key investor protection for all Americans who are investing for college, retirement and other needs—be extended to broker-dealers and other financial professionals who provide personalized investment advice to retail customers.

Read the Coalition’s letter (PDF, 143KB)


 

Financial Planning Coalition

CFP Board, the Financial Planning Association®, and the National Association of Personal Financial Advisors are working together as the Financial Planning Coalition to pursue consumer protection and industry reform.

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