Activities and Projects – Professional Issues Committee


Professional Issues Committee

Brian Edstrom
Brian Edstrom, Director

Committee Members
John Bergstrom
Stephen Fischer
Melissa Glennie
Keith Loveland
Tom Luing
Donald McNeil


Monthly Updates

September 28, 2017
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
August 27, 2017
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
July 28, 2017
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
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