Market Regulation

Consumer Information

Press Releases

Studies

Testimony and Comments


Consumer Information

  • Credit Rating Agency Reform Briefing, 2/4/10. (PDF)
  • CFA Position Paper: The Need for Credit Rating Agency Regulatory Reform, 07/22/09. (PDF)

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Press Releases

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Studies

  • White Paper: Toward A U.S. Equity Market Structure That Serves All Investors, 09/09/2014. (PDF)
  • One Year After: A Progress Report on the Dodd-Frank Wall Street Reform and Consumer Protection Act, 07/20/11. (PDF)
  • Reform of Financial Markets Report, 04/06/09. (PDF)
  • Reform of Financial Markets Issue Brief, 04/06/09. (PDF)

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Testimony and Comments

  • CFA Comments Urging FINRA to Implement CARD, 12/01/2014. (PDF)
  • CFA Comments on Universal Ratings, 08/13/2014. (PDF)
  • CFA Letter Urging U.S. House to Oppose "The Consumer Protection and End User Relief Act" (HR 4413), 06/17/2014. (PDF)
  • CFA Letter Urging U.S. House to Support DeLauro-Waters-Himes Amendment to Agriculture Appropriations Bill 06/11/2014. (PDF)
  • CFA Letter Urging U.S. Financial Services Committee to Oppose "Capital Formation" Bills Scheduled for Markup, 06/09/2014. (PDF)
  • CFA Letter to House Financial Services Committee Opposing Anti-Investors “Capital Formation” Bills, 05/05/2014. (PDF)
  • CFA Opposes Customer Protection and End User Relief Act, H.R.4413, 04/28/2014. (PDF)
  • Comment to the SEC, CFA Voices Strong Opposition to Proposed Preemption of State Oversight of “Reg A” Offerings, 03/24/2014. (PDF)
  • Letter to SEC Secretary Murphy on Nationally Recognized Statistical Rating Organizations, 03/05/2014. (PDF)
  • Letter to SEC Secretary Murphy on Proposed New Regulation Crowdfunding, 02/05/2014. (PDF)
  • CFA Letter to House Financial Services Committee Opposing H.R. 1800 and Duffy Discussion Draft, 11/12/2013. (PDF)
  • Investor Protection Groups Urge Congress to Vote No on H.R. 2374, the Retail Investor Protection Act, 10/25/2013. (PDF)
  • Consumer Group Letter to OMB Urging Review of DOL's Investment Advice Definition, 10/18/2013. (PDF)
  • CFA Letter Urging U.S. House to Vote No on H.R. 2374, the Retail Investor Protection Act, 09/30/2013. (PDF)
  • CFA Calls For Strengthened Protections for Private Offerings to Offset Heightened Fraud Risk, 09/23/2013. (PDF)
  • Investor Groups Urge Senators Not to Interfere in DOL Fiduciary Rulemaking, 08/01/2013. (PDF)
  • CFA Urges Congress to Oppose H.R. 2374, 07/16/2013. (PDF)
  • CFA Urges House Financial Services Committee to Oppose H.R. 2374 and Other Anti-Investor Bills, 06/18/2013. (PDF)
  • CFA Urges Members to Vote NO on H.R. 1256, 06/10/2013. (PDF)
  • CFA and AFR Oppose Draft Bill to Delay Fiduciary Rulemaking, 05/22/2013. (PDF)
  • CFA Urges “No” Vote on H.R. 1062, the SEC Regulatory Accountability Act, 05/16/2013. (PDF)
  • Fund Democracy and CFA Urge SEC to Adopt Hedge Fund Performance Standards Before Permitting Expanded Marketing, 05/15/2013. (PDF)
  • CORRECTED: CFA Urges House Financial Services Committee to Oppose Derivatives Reform Roll-backs, 05/03/2013 (PDF)
  • CFA Letter to Senate Agriculture Committee on CFTC Reauthorization, 05/01/2013. (PDF)
  • Business and Investor Groups Join in Urging Investor Protections in JOBS Act Rule, 04/30/2013. (PDF)
  • Consumer Groups’ Letter to Congressional Leaders on 2013 Consumer Priorities, 02/01/13. (PDF)
  • Consumer Groups’ Letter to President Obama on 2013 Consumer Priorities, 02/01/13. (PDF)
  • An Agenda to Ensure Consumers are Heard, 02/01/13. (PDF)
  • Groups Urge SEC to Incorporate Investor Protections in JOBS Act Rule, 04/23/2013. (PDF)
  • CFA Letter in Opposition to Proposed Rule to Lift General Solicitation and Advertising Ban for Rule 506, 10/04/12. (PDF)
  • SEC Must Address Complex Issues in JOBS Act Rulemaking, 08/16/12. (PDF)
  • Investor Advocates Oppose Rushed JOBS Act Rulemaking, 08/15/12. (PDF)
  • CFA Letter to House Financial Services Committee Regarding H.R. 4624, 06/04/12. (PDF)
  • Consumer Groups Letter in Support of Extension of Advisers Act Fiduciary Duty as Outlined in Section 913 of January 2011 Study, 03/29/12. (PDF)
  • AFR CFA JOBS Act Media Coverage, 03/20/12. (PDF)
  • Public Interest, Securities Regulators, Seniors, and Unions All Oppose JOBS Act’s Attack on Investor Protections, 03/20/12. (PDF)
  • CFA and AFR Support Reed-Landrieu-Levin Amendment to the House JOBS Act (H.R. 3606), 03/15/12. (PDF)
  • CFA Urges Pro-Investor, Pro-Market Changes to the JOBS Act (H.R. 3606), 03/12/12. (PDF)
  • Organizations and Individuals Critical of Anti-investor Provisions in the House JOBS Act and Companion Senate Bills, 03/12/12. (PDF)
  • Statement of CFA Director of Investor Protection Barbara RoperIn Response to House Passage of Anti-Investor, Anti-Jobs JOBS Act, 03/08/12. (PDF)
  • CFA and AFR Support Amendments to Improve Anti-Investor JOBS Act, 03/07/12. (PDF)
  • Public Interest Groups Oppose Anti-Investor “Capital Formation” Bills, 03/05/12. (PDF)
  • CFA and AFR Urge No Vote on Anti-Investor JOBS Act, 03/05/12. (PDF)
  • CFA Urges Full Funding for CFTC, 02/28/12. (PDF)
  • CFA Opposes Tester and Thume Amendments to the STOCK Act, 02/01/12. (PDF)
  • Comments to PCAOB regarding Concept Release on Auditor Independence and Audit Firm Rotation, 12/14/11. (PDF)
  • Statement of Barbara Roper on Spurring Job Growth through Capital Formation While Protecting Investors, 12/01/11. (PDF)
  • Statement of Barbara Roper to Senate Banking Committee on Spurring Job Growth Through Capitol Formation, 12/1/11. (PDF)
  • CFA and AFR letter to CFTC on Business Conduct, 11/03/11. (PDF)
  • Coalition letter to House opposing "SEC Regulatory Accountability Act," 08/17/11. (PDF)
  • CFA and AFR Call for Strengthened Credit Rating Agency Rules, 08/09/11. (PDF)
  • Group Letter to Congress Urging Support for Full Funding to the CFTC and the SEC, 04/05/11. (PDF)
  • Statement of Travis B. Plunkett Regarding Budget Reductions to Financial Regulatory Agencies at Representative John Conyers’ Budget Impact Forum, 02/24/11. (PDF)
  • Comments of CFA and AFR to the CFTC on Proposed External Business Conduct Standards for Swap Dealers and Major Swap Participants, 02/22/11. (PDF)
  • CFA Urges Senate to Fund the SEC and CFTC at Levels Approved by Appropriators, 12/7/10. (PDF)
  • CFA Urges House to Fund the SEC and CFTC at Levels Approved by Appropriators, 12/7/10. (PDF)
  • CFA and AFR's Comments on Determination of Foreign Exchange Swaps & Forwards, 11/30/10. (PDF)
  • CFA Outlines Consumer Priorities for Lame Duck Session to Senate, 11/17/10. (PDF)
  • CFA Outlines Consumer Priorities for Lame Duck Session to House, 11/17/10. (PDF)
  • CFA Comments to SEC on Issuer Review of Assets in Offerings of Asset-Backed Securities, 11/16/10. (PDF)
  • CFA Urges Congress to Pass the Dodd-Frank Conference Report Immediately, House Version, 06/28/10. (PDF)
  • CFA Urges Congress to Pass the Dodd-Frank Conference Report Immediately, Senate Version, 06/28/10. (PDF)
  • CFA Urges Conferees to Protect Investors and Restore Provisions Weakened in the Senate Counter-Offer, 06/21/10. (PDF)
  • Protect Investors from Accounting Fraud: Oppose Exemptions to Sarbanes-Oxley, 06/15/10. (PDF)
  • CFA Outlines Investor Protection Title Priorities for Congressional Conference Committee, 06/14/10. (PDF)
  • Letter to the Senate on Consumer Priorities in Financial Regulatory Reform Conference, 06/08/10. (PDF)
  • Letter to the House on Consumer Priorities in Financial Regulatory Reform Conference, 06/08/10. (PDF)
  • CFA and Americans for Financial Reform's Letter to Senator Lincoln on Swap Dealers, 06/08/10. (PDF)
  • CFA Guide to Amendments to Restoring American Financial Stability Act (S.3217), 5/12/10. (PDF)
  • CFA's Daily Look on Financial Reform: Hold Credit Rating Agencies Accountable, 5/5/10. (PDF)
  • CFA's Daily Look on Financial Reform: Close the Regulatory Gaps on Derivatives, 4/29/10. (PDF)
  • CFA's Daily Look on Financial Reform: Survey Says Public Support for Consumer Financial Agency is High and Has Grown Over the Last 9 Months, 4/26/10. (PDF)
  • Consumer Federation of America Supports H.R. 4173, the Wall Street Reform and Consumer Protection Act, 12/10/09. (PDF)
  • CFA and AFR Support the Credit Rating Agency Provisions in Senator Dodd's Reform Package, 11/24/09. (PDF)
  • CFA and AFR Support the Amendment of the FSIA to Create a Stronger Financial Stability Oversight Council, 11/17/09. (PDF)
  • Consumer Groups Oppose Price and Lee Amendments to H.R. 3817, 11/3/09. (PDF)
  • Investor Protection Attacked in Amendments to H.R. 3817, 11/03/09. (PDF)
  • CFA Opposes Sox 404 Amendment, 11/03/09. (PDF)
  • CFA Urges Financial Services Committee to Vote No to Anti Sox Amendments, 10/27/09. (PDF)
  • Financial Services Committee Urged To Close Loopholes in Derivatives Bill, 10/14/09. (PDF)
  • Testimony of Dr. Mark Cooper in front of the Joint SEC-CFTC Meeting on the Harmonization of Regulation, 09/02/09. (PDF)
  • Testimony of Travis Plunkett before the House Financial Services Committee regarding Community and Consumer Advocates' Perspectives on the Obama Administration's Financial Regulatory Reform Proposals, 07/16/09. (PDF)
  • Testimony of CFA and USPIRG on Regulatory Restructuring before the House Financial Services Committee, 06/24/09. (PDF)
  • Testimony of Barbara Roper before the Senate Banking Committee regarding Enhancing Investor Protection and the Regulation of Securities Markets, 03/26/09. (PDF)
  • Testimony of Dr. Mark Cooper before the House Judiciary Committee regarding Role of Antitrust Law in Government-Funded Consolidation in the Banking Industry, 03/17/09. (PDF)
  • Testimony of Travis Plunkett before the House Financial Services Committee regarding "Systemic Risk", 03/17/09. (PDF)
  • Advocacy Groups Reiterate Request that SEC Act Promptly to Enhance Reliability of Money Market Fund Pricing, 11/22/08. (PDF)
  • Fund Democracy and CFA Comment on SEC Proposal to Regulate Equity-Indexed Annuities, 11/10/08. (PDF)
  • Fund Democracy and CFA Comment on Department of Labor 401(k) Fee Disclosure Proposal, 11/08/08. (PDF)
  • Fund Democracy and CFA Comment on SEC Proposal to Loosen Credit Quality Restrictions on Money Market Funds, 11/05/08. (PDF)
  • CFA Calls on Congress to Protect Taxpayers in Wall Street Rescue Plan, 09/22/08. (PDF)
  • Testimony of Dr. Mark Cooper on Oversight of Energy Markets and Oil Futures Contracts, 06/17/08. (PDF)
  • Testimony of Dr. Mark Cooper on Energy Market Manipulation before Senate Commerce Committee, 06/03/08. (PDF)
  • CFA Opposes Advisory Committee Recommendations to Weaken Financial Reporting Requirements, 04/14/08. (PDF)
  • CFA Urges PCAOB to Withdraw Full Reliance Proposal, 03/04/08. (PDF)
  • Fund Democracy, CFA, and Consumer Action Comment on SEC Proposal to Permit Mutual Funds to Use a Summary to Satisfy Prospectus Delivery Requirement, 02/28/08. (PDF)
    • Follow-up Letter, 04/17/08. (PDF)
  • Letter to SEC Chairman Cox Criticizing Complexity Committee Recommendations, 01/16/08. (PDF)
  • CFA and Others Petition SEC to Require Money Market Funds to File Electronically with SEC, 1/16/08. (PDF)
  • CFA's comments on the Treasury Department's Review of the Regulatory Structure Associated with Financial Institutions, 11/21/07. (PDF)
  • Statement of Dr. Mark Cooper before the Commodity Futures Trading Commission: Hearing to Examine the Oversight of Trading on Regulated Futures Exchanges and Exempt Commercial Markets, 09/18/07. (PDF)
  • CFA Names Key Investor Protection Issues Before SEC Hearing, 07/30/07. (PDF)
  • Testimony of Travis Plunkett, Improving Federal Consumer Protections in Financial Services, 07/25/07. (PDF)
  • Fund Democracy and CFA letter to DoL's Employee Benefits Security Administration Regarding Fee Disclosure for Individual Accounts, 07/24/07. (PDF)
  • CFA Letter to SEC Challenging Lack of Attention to Investor Concerns in SOX 404 Meeting, 04/04/07. (PDF)
  • Consumer Group Letter to the Hill on Global Competitiveness of U.S. Securities Markets, 03/20/07. (PDF)
  • Fund Democracy and CFA Comment on SEC Studies To Fund Governance Proposal, 03/02/07. (PDF)
  • Consumer Group Letter to SEC Opposing Proposed Guidance on Internal Control over Financial Reporting, 02/27/07. (PDF)
  • Consumer Group Letter to PCAOB Opposing Rewrite of Internal Control Audit Standard, 02/26/07. (PDF)
  • Fund Democracy and CFA Comments to SEC For Proposed Rule on Mutual Funds Boards, 08/21/06. (PDF)
  • Letter from CFA and Consumer Groups to SEC Chairman Cox Urging Compliance with Independent Chairman, 04/18/06. (PDF)
  • Fund Democracy and CFA Comments on SEC Interpretive Release on Soft Dollar Safe Harbor, 11/23/05. (PDF)
  • Amicus Brief Filed by Fund Democracy & CFA Urging Dismissal of Chamber of Commerce Challenge to Fund Governance Rules, 10/28/05. (PDF)
  • CFA and Consumer Groups Comments on SEC Request for Comment on Mutual Fund Point-of-Sale Document Proposal, 04/05/05. (PDF)
  • CFA and Consumer Groups Comment on SEC Proposal to 2% Redemption Fees on Mutual Funds, 05/11/04. (PDF)
  • CFA and Consumer Groups on SEC Proposal Regarding Mutual Funds' Use of Brokerage Commissions to Finance Distribution, 05/10/04. (PDF)
  • Fund Democracy and CFA on SEC Proposal Regarding Disclosure of the Basis of Mutual Funds Boards' Approval of the Advisory Contract, 04/26/04. (PDF)
  • CFA and Consumer Groups on SEC Proposal Regarding Fee Disclosure in Mutual Fund Point-of-Sale and Confirmation Documents, 04/21/04. (PDF)
  • CFA and Consumer Groups Comments to Senate Banking Committee Regarding Need for Mutual Fund Reform Legislation, 04/07/04. (PDF)
  • CFA and Consumer Groups on SEC Request for Comments on Measures to Improve Disclosure of Mutual Fund Portfolio Transaction Costs, 03/16/04. (PDF)
  • CFA and Consumer Groups Comments on SEC Proposal Regarding Investment Company Governance, 03/10/04. (PDF)
  • CFA and Fund Democracy Comments on SEC Proposal to Require Receipt of Fund Orders, 02/06/04. (PDF)
  • Letter to Senator Fitzgerald in Support of Mutual Fund Reform Act, 02/05/04. (PDF)
  • CFA and Fund Democracy on SEC Proposal Regarding Advisers Acting as Subadvisers to Mutual Funds Without Shareholder Approval, 01/08/04. (PDF)
  • Consumer Group Letter Opposing State Preemption Provision in H.R. 2179, 07/23/03. (PDF)
  • Letter from CFA and Consumer Groups in Support of H.R. 2420, The Mutual Funds Integrity and Fee Transparency Act of 2003, 07/09/03. (PDF)
  • Consumer Group Letter to SEC Charging Ernst & Young with Undermining Key Auditor Independence Reform, 06/11/03. (PDF)
  • Consumer Groups Urge SEC to Investigate Preapproval Processes for Non-audit Services, 06/05/03. (PDF)
  • CFA and Fund Democracy on SEC Proposal Regarding Mutual Fund Portfolio and Fee Disclosure, 02/14/03. (PDF)
  • Strengthening the Commission's Requirements Regarding Auditor Independence, 01/13/03. (PDF)
  • Consumer Groups Call on Audit Reform Conferees to Reject Special Interest Amendments, 07/22/02. (PDF)

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