Displaying 236 results
Obama encourages statewide retirement plans
President directs Department of Labor to propose rules by the end of the year to provide a “clear path” for states.
The case against state-run retirement plans
While most Americans are not aware of it, a broad nationwide trend is underway that could profoundly impact…
Helping advisers help themselves in succession planning
At September gathering, FSI plans focus on M&A, practice valuation, contracts, deal structures and best practices for implementing a succession plan.
FSI gives revised Finra BrokerCheck link rule the thumbs down
In a new comment letter, the industry group contends that the rule would create undue regulatory costs.
The rewards of engaging with Congress
Recent history shows that connecting with legislators in Washington is time well spent.
CARDS proposal poses challenges, unintended consequences
Though well-intended, Finra's plan could come with new security concerns and costs
FSI opposes Finra proposal for automated account information collection
CARDS would pose risks and challenges to its members, broker-dealer group contends.
FSI to push for independent-contractor legislation in 2014
Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.
Advisers dubious about chances of government action – any government action
FSI poll shows expectations of tepid growth; 'grand bargain' a pipe dream
RIAs and IBDs: Looking beyond acronyms to defend common interests
While the differences between registered investment advisers and the independent broker-dealers are certainly real, all of us in this industry benefit when we pull together to represent our common interests in our interactions with regulators, according to FSI's Dale Brown.
Lobbyists put hands in sausage maker
As the Department of Labor readies to re-propose its fiduciary-duty rule, lobbying surrounding the issue intensifies. Did the Financial Services Institute Inc. draft an opposition letter signed by lawmakers? Probably; but that's not a scandal. That's business as usual in Washington.
BrokerCheck link dashed
Finra yanks proposal that would have required reps to post link to database on their web sites, social media pages
Finra’s cease-fire on RIA oversight
Regulator is indicating that legislation on SRO proposal might not be revived this year
Finra warned on bonus disclosure plan
The main trade group representing independent-contractor broker-dealers will soon go public with its concerns about a Financial Industry…
Advocates for retirement tax incentives gird for 2013 battle
Stepping up lobbying to protect 401(k)s, IRA deferrals; 'laying down a marker'
Journalist’s book blisters advisers
A new book that criticizes the financial advice industry is being panned by many advisers, but surprisingly, others…
Industry groups give congressionally, not on federal level
Trade associations in the investment advice sector can agree on one thing when it comes to politics: It…
FSI ramps up lobbying on indie contractor status, other tax issues
Lewis is latest hire charged with pushing advisers' agenda on Capitol Hill
FSI unloads on Borzi
The FSI has fired off a letter to Congress blasting the letter the DOL's Phyllis Borzi sent to Congress blasting Institute
FSI takes DOL’s Borzi to the mat
The Financial Services Institute Inc. fired off an angry note to two members of Congress last Tuesday, fuming…
