IMCA Members Government Relations Survey

Question Title

* 1.
Are you aware that IMCA provides a monthly Legislative Intelligence Update written report to members?

Yes. I regularly read Legislative Intelligence Update.

Yes, but I don't read it.

No, I am not aware that IMCA provides this as a member benefit.

Question Title

* 2.
Please rate the importance of receiving regular written legislative and regulatory briefings from IMCA on a scale of 1-4.

Very Important

Important

Neutral

Unimportant

Not at all important

Very Important

Important

Neutral

Unimportant

Not at all important

Question Title

* 3.
What is the primary way you stay informed about legislative and regulatory developments that affect you (choose only one)?

My company or compliance department provides regular updates

I read the trade press and general press to stay informed

I wait for my company to provide instructions when changes occur

I receive updates from a professional association

Other, please specify

Question Title

* 4. Which of the following answers most closely represents your opinion about what legislative or regulatory services IMCA should provide its members?

IMCA should not dedicate any resources to this area

IMCA should monitor and report on legislative and regulatory developments as they occur

IMCA should take steps to grow its reputation in Washington D.C. (while refraining from registering as a lobbyist)

IMCA should register as a lobbyist

Other, please specify

Question Title

* 5. IMCA provides some regulatory and legislative services (monitoring and reporting). What services do you think IMCA should apply to the following issues?

	I am not interested in this issue	IMCA Should monitor this issue	IMCA should report on this issue	IMCA should define a position on this issue
DOL Standards for brokerage windows in 401k plans	DOL Standards for brokerage windows in 401k plans I am not interested in this issue	DOL Standards for brokerage windows in 401k plans IMCA Should monitor this issue	DOL Standards for brokerage windows in 401k plans IMCA should report on this issue	DOL Standards for brokerage windows in 401k plans IMCA should define a position on this issue
DOL Fiduciary rule (conflicts of interest rule)	DOL Fiduciary rule (conflicts of interest rule) I am not interested in this issue	DOL Fiduciary rule (conflicts of interest rule) IMCA Should monitor this issue	DOL Fiduciary rule (conflicts of interest rule) IMCA should report on this issue	DOL Fiduciary rule (conflicts of interest rule) IMCA should define a position on this issue
IRA rollover rules	IRA rollover rules I am not interested in this issue	IRA rollover rules IMCA Should monitor this issue	IRA rollover rules IMCA should report on this issue	IRA rollover rules IMCA should define a position on this issue
SEC Examinations rules	SEC Examinations rules I am not interested in this issue	SEC Examinations rules IMCA Should monitor this issue	SEC Examinations rules IMCA should report on this issue	SEC Examinations rules IMCA should define a position on this issue
SEC /FINRA Dual registrant oversight	SEC /FINRA Dual registrant oversight I am not interested in this issue	SEC /FINRA Dual registrant oversight IMCA Should monitor this issue	SEC /FINRA Dual registrant oversight IMCA should report on this issue	SEC /FINRA Dual registrant oversight IMCA should define a position on this issue
SEC Accredited Investor definition	SEC Accredited Investor definition I am not interested in this issue	SEC Accredited Investor definition IMCA Should monitor this issue	SEC Accredited Investor definition IMCA should report on this issue	SEC Accredited Investor definition IMCA should define a position on this issue
FINRA Comprehensive Automated Risk Data System (CARDS) Proposal	FINRA Comprehensive Automated Risk Data System (CARDS) Proposal I am not interested in this issue	FINRA Comprehensive Automated Risk Data System (CARDS) Proposal IMCA Should monitor this issue	FINRA Comprehensive Automated Risk Data System (CARDS) Proposal IMCA should report on this issue	FINRA Comprehensive Automated Risk Data System (CARDS) Proposal IMCA should define a position on this issue
Congressional tax reform	Congressional tax reform I am not interested in this issue	Congressional tax reform IMCA Should monitor this issue	Congressional tax reform IMCA should report on this issue	Congressional tax reform IMCA should define a position on this issue

Other (please specify)

Question Title

* 6.
Please tell us the type of firm you work with:

National/regional broker-dealer firm (employee)

Independent firm affiliated with a Broker-Dealer firm (independent contractor)

Independent RIA Firm (unaffiliated with another financial institution)

Dually registered with my firm's RIA and Independent broker-dealer

Bank/Trust Department

ERISA 3(21) or 3(38) advisor

Asset management firm (product provider to advisors)

Technology/Custodian/Service firm (service provider to advisors)

Other, please specify

Question Title

* 7. If you are affiliated with an RIA, is the firm state or SEC registered?

State

SEC

Not applicable

IMCA Members Government Relations Survey

Question Title

* 1.
Are you aware that IMCA provides a monthly Legislative Intelligence Update written report to members?

Question Title

* 2.
Please rate the importance of receiving regular written legislative and regulatory briefings from IMCA on a scale of 1-4.

Question Title

* 3.
What is the primary way you stay informed about legislative and regulatory developments that affect you (choose only one)?

Question Title

* 4. Which of the following answers most closely represents your opinion about what legislative or regulatory services IMCA should provide its members?

Question Title

* 5. IMCA provides some regulatory and legislative services (monitoring and reporting). What services do you think IMCA should apply to the following issues?

Question Title

* 6.
Please tell us the type of firm you work with:

Question Title

* 7. If you are affiliated with an RIA, is the firm state or SEC registered?

Question Title

* 8. To which regulatory structure are you subject?

Question Title

* 9. Is there anything else you would like to see IMCA do related to government relations?

Question Title

* 1. Are you aware that IMCA provides a monthly Legislative Intelligence Update written report to members?

Question Title

* 2. Please rate the importance of receiving regular written legislative and regulatory briefings from IMCA on a scale of 1-4.

Question Title

* 3. What is the primary way you stay informed about legislative and regulatory developments that affect you (choose only one)?

Question Title

* 4. Which of the following answers most closely represents your opinion about what legislative or regulatory services IMCA should provide its members?

Question Title

* 5. IMCA provides some regulatory and legislative services (monitoring and reporting). What services do you think IMCA should apply to the following issues?

Question Title

* 6. Please tell us the type of firm you work with:

Question Title

* 7. If you are affiliated with an RIA, is the firm state or SEC registered?

Question Title

* 8. To which regulatory structure are you subject?

Question Title

* 9. Is there anything else you would like to see IMCA do related to government relations?

* 1.
Are you aware that IMCA provides a monthly Legislative Intelligence Update written report to members?

* 2.
Please rate the importance of receiving regular written legislative and regulatory briefings from IMCA on a scale of 1-4.

* 3.
What is the primary way you stay informed about legislative and regulatory developments that affect you (choose only one)?

* 6.
Please tell us the type of firm you work with: