Displaying 236 results
Why living-room lobbying may be here to stay
The pandemic has pushed trade associations to virtual meetings to make their case with lawmakers
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
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
Financial industry groups seek SEC rule on 12b-1 fee disclosure
Investor advocates: Common sense and the Investment Advisers Act require the disclosure of higher-fee funds
Financial industry opponents remain wary of SEC’s crackdown on share-class disclosure
The end of the formal initiative failed to soothe worries about future enforcement
Advice groups push for tax break for fees in next stimulus package
Senate Finance Committee spokesperson says that it's ‘too early to know what the legislation might encompass’
Trade associations plan to step up political spending in campaign year
The Financial Services Institute and an insurance group are among those varying from their pace in previous cycles
FSI denounces ‘regulation by enforcement’ despite strong rebuke from SEC’s Jackson
Group says Reg BI enforcement probably won’t draw same criticism as share-class crackdown
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
Commending Finra on its efforts to improve its exam program
Regulator's actions can serve as a model for the SEC and others on incorporating industry feedback to improve regulatory programs
Working to get Reg BI implemented
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
Brokerages won’t know bite of Reg BI until enforcement begins
Principles-based rule provides little detail on how to comply.
SEC continues to see problems with advisers selecting too-expensive share classes
More than 18 months after the launch of its crackdown, agency exams show message isn't getting through.
The threat posed by state fiduciary rules
A state-by-state approach to fiduciary standards would create a confusing and counterproductive regulatory patchwork that would impede advisers' ability to provide guidance.
Independent contractor status for brokers and advisers safe in California
FSI successfully lobbied earlier this year for an exemption to proposed legislation for its broker-dealer and RIA members.
Brokerage industry groups dominate campaign spending out of the gate for 2020 cycle
Political donations cross the aisle as lobbyists try to make friends on both sides.
It’s time to end ‘rulemaking by enforcement’
If rules don't define advisers' obligations, it's hard for firms and advisers to operate their businesses and providing guidance to clients
Trump taps top lawyer against DOL fiduciary rule to head the department
Investor advocates wonder whether Eugene Scalia personally holds positions he advocated in court, while financial industry groups welcome the nomination.
Applauding the SEC’s new approach to disclosure
Form CRS uses a simplified approach to help clients more fully understand the terms of their relationships with advisers
Finra rogue broker proposal raises concerns among investor, industry advocates
PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.
