Dale Brown
Dale E. Brown is president and CEO of the Financial Services Institute. Twitter: @FSIDaleBrown
Dale E. Brown is president and CEO of the Financial Services Institute. Twitter: @FSIDaleBrown
The Department of Labor's withdrawal of a Trump-era rule has added to advisers' confusion about working as independent contractors, a model that benefits them and their clients.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
For independent advisory firms and advisers, the Biden administration’s approach to regulation will be among the most consequential outcomes of the November elections.
The challenges of the pandemic were magnified by the implementation of the SEC's Reg BI
Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area
Taxes on the industry, fiduciary rules and independent contractor status are among the regulatory issues at the state level
Two areas for further improvement are the measure's disclosure proposal and its stance on rollovers
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
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
During these challenging times, it is more important than ever that we protect and expand access to financial advice
