Natl Assn of Personal Financial Advisors
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Figures are based on lobbying activity reported to the Senate Office of Public Records. Reported dollar amounts are required to be accurate only to the nearest $20,000. For organizations whose primary business is lobbying, we display total income and top clients. For organizations that are not primarily lobbying firms, we display total amount spent on lobbying and top lobbying firms hired.
For more information, please see our lobbying methodology page.
Lobbying on Behalf of Natl Assn of Personal Financial Advisors
Names of Lobbyists
Most Frequently Disclosed Lobbying Issues
RegulationsMentioned in 34 dockets; Submitted to 10 dockets
All data is based on documents downloaded from Regulations.gov. The first table shows mentions: all documents that include the name of the company anywhere in the document or document metadata. The second table shows submissions: all documents where the submitter metadata included the company name. Each table shows the top 10 dockets, ranked by number of occurrences.
Matches are based on a search for the company name. Variations in the company name, such as acronyms, nicknames or alternate names may cause documents to be missed. The mention of a company name in a document may be incidental and does not necessarily indicate that the company has any relevance to the document. Company names that are common English words may erroneously match with text that is not referring to the company.
Not all agencies submit public comments to Regulations.gov. For a list of participating and non-participating agencies see here. Agencies that do submit to Regulations.gov have varying levels of accuracy and completeness.
Regulations and public comments can be downloaded in bulk here.
The tables show occurrences of "Natl Assn of Personal Financial Advisors" in public comments on proposed federal regulations.
Documents Submitted by the Organization
View all submissions data for Natl Assn of Personal Financial Advisors
- Toggle 14 SEC Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers 1999
- Toggle 9 SEC Comments on Duties of Brokers, Dealers, and Investment Advisers 2010
- Toggle 4 SEC Temporary Rule Regarding Principal Trades with Certain Advisory Clients 2007
- Toggle 1 SEC Comments on Rulemaking Petition: Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers 2005
- Toggle 1 SEC Comments on Notice of Solicitation of Public Views Regarding Practices Being Developed to Deal with the Increasing Number of Senior Investors 2008
- Toggle 1 SEC Comments on Interpretive Rule Under the Advisers Act Affecting Broker-Dealers 2007
- Toggle 1 SEC Comments on: Investor Advisory Committee 2009
- Toggle 1 SEC Comments on Proposed and Final Rules: Compliance Programs of Investment Companies and Investment Advisers 2003
- Toggle 1 SEC Comments on Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV 2000
- Toggle 1 TREAS Review by the Treasury Department of the Regulatory Structure Associated with Financial Institutions 2007
Mentions in Document Text
View all mentions data for Natl Assn of Personal Financial Advisors
- Toggle 29 SEC Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers 1999
- Toggle 22 SEC Comments on Duties of Brokers, Dealers, and Investment Advisers 2010
- Toggle 10 SEC Comments on Proposed Rule: Custody of Funds or Securities of Clients by Investment Advisers 2009
- Toggle 8 SEC Temporary Rule Regarding Principal Trades with Certain Advisory Clients 2007
- Toggle 7 SEC Comments on Indexed Annuities and Certain Other Insurance Contracts 2008
- Toggle 4 SEC Comments on Interpretive Rule Under the Advisers Act Affecting Broker-Dealers 2007
- Toggle 3 SEC Comments on Proposed and Final Rules: Compliance Programs of Investment Companies and Investment Advisers 2003
- Toggle 3 EBSA Investment Advice—Participants and Beneficiaries 2008
- Toggle 2 SEC Comments on Proposed Rule: Mutual Fund Distribution Fees; Confirmations 2010
- Toggle 2 SEC Comments on Proposed Rule: Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 2007