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Journal in the Round: Voices of the Profession on SEC Proposed Rules

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A cornerstone of any profession is the willingness of those in the profession to have their voices heard on the policies that impact them, their businesses and their clients. Join our panel of advocacy experts and FPA volunteers that represent the FPA Member Advocacy Council (MAC) and FPA Legislative and Regulatory Issues Committee (LRIC) as they discuss how these groups participated in organizing and composing the Financial Planning Coalition’s public comment on the proposed SEC regulatory package. This panel discussion incorporated August's regulatory update and fiduciary theme of the Journal of Financial Planning.

  • Discover the impact of the SEC proposed regulatory package on investment advisers and broker-dealers
  • Identify elements of the document that is being proposed as a mandatory requirement by the SEC

James Lee, CFP®

Founder & President, Lee Investment Management

James Lee is founder and president of Lee Investment Management, an SEC-registered investment advisory firm based in Saratoga Springs, NY. James has been an FPA member since 1998 and currently serves as chair of the FPA's Legislative and Regulatory Issues Committee.

Chris Draughon, CFP®

Director of Financial Planning, First Coast Wealth Advisor

Chris Draughon currently serves on the board of directors of the Financial Planning Association (FPA), and includes many others who support the financial planning process. Draughon is director of Financial Planning at First Coast Wealth Advisors, a Florida-based financial planning firm providing personalized investment advisory and financial planning services to families and business owners. He has been helping families achieve their financial goals for more than 12 years.

Josephine Colacci, Esq.

Public Policy Counsel, Financial Planning Association

Josephine Colacci is the Public Policy Counsel for the Financial Planning Association (FPA) and is a licensed attorney in Colorado, Washington, D.C., and Wyoming. With 12 years of experience in health care public policy on the multistate level, she has also served as the director of government affairs for the International Association of Healthcare Central Service Materiel Management since 2010.

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Journal in the Round: Voices of the Profession on SEC Proposed Rules
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Certificate of Completion
0.0 CFP CE credits  |  Certificate available
0.0 CFP CE credits  |  Certificate available