Activities and Projects – Professional Issues Committee

In August, the SEC Office of Compliance Inspections and Examinations (OCIE) released a risk alert titled Observations From Cybersecurity Examinations.  This alert reviewed the OCIE’s findings from examinations of 75 firms that focused on their cybersecurity preparedness.  The firms examined…

Thanks to the input of CFP® professional members of the association, the FPA Board of Directors — with the help of the FPA Member Advocacy Council (MAC) — submitted a comment letter to CFP Board on the proposed changes to…

In March, FINRA published Regulatory Notice 17-11 Financial Exploitation of Seniors announcing that the SEC had approved FINRA’s proposals for addressing financial exploitation of seniors. Regulatory Notice 17-11 covers the new FINRA rule 2165 (Financial Exploitation of Specified Adults) as…