Dale Brown

Author

Displaying 54 results

Topic

Driving progress during an unprecedented year

The challenges of the pandemic were magnified by the implementation of the SEC's Reg BI

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Protecting independent contractor status for advisers

Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area

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Advisers should keep an eye on state laws and regulations

Taxes on the industry, fiduciary rules and independent contractor status are among the regulatory issues at the state level

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New DOL advice proposal is a step forward

Two areas for further improvement are the measure's disclosure proposal and its stance on rollovers

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SEC rule resets regulatory landscape

Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards

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FSI fights SEC ‘rulemaking by enforcement’

An industry coalition filed a petition requesting the agency bring its staff 'guidance' in line with existing regulations on disclosing compensation for recommending mutual fund share classes

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Restore the tax deduction for advisory fees

During these challenging times, it is more important than ever that we protect and expand access to financial advice

Topic

FSI’s top advocacy priorities in 2020

The tax treatment of financial services and reducing burdens on advisers' business entities are among the items FSI will be focusing on this year

Topic

Cybersecurity rules can create compliance challenges

National standards would be preferable to a patchwork of state-by-state rules when it comes to dealing with rapidly evolving cyberthreats

Topic

Looking back on a year of great progress for our industry

Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.

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