Statements of Position and Comment Letters
The Investments & Wealth Institute Code of Professional Responsibility promotes integrity, loyalty, objectivity, and ethical conduct. The articles of incorporation of the Institute, written more than 30 years ago, place great emphasis on ensuring "quality service to the public through developing and encouraging high standards and best practices for the investment and wealth management disciplines." Based on these principles, the Institute is often asked to share comment about issues regarding the financial services industry by various government agencies, associations, and others.
The Institute, as an education and credentialing organization, generally does not advocate for any particular legislative or regulatory position.
Items submitted include:
- Comment Letter to the Securities and Exchange Commission (restrictions on the use of certain names or titles) August 6, 2018
- Comment Letter to the Securities and Exchange Commission (enhancing investment advisor regulation, federal licensing, and continuing education) August 6, 2018
- Letter to the National Football League Players Association (new requirements for financial advisors) June 28, 2018
- Comment Letter to the Securities and Exchange Commission (report on the review of the definition of accredited investor) March 29, 2016
- Comment Letter and corresponding Literature Review to the Securities and Exchange Commission (duties of brokers, dealers, and investment advisers) July 5, 2013
- Comment Letter to the Bureau of Consumer Financial Protection (senior financial exploitation) August 20, 2012