Originally published in the May 2013 issue of FSIVoice. Among the many impacts of the much-discussed macro factors influencing the independent advisory industry today — generational pressures on both the […]
Name: Derek Bruton Title: Managing Director Company: LPL Financial Hobbies: Tennis and music. Desired superpower: The ability to instantly create more legroom for an airplane seat. Coming from more than […]
By Chris Hayes, FSI State Regulatory Affairs Counsel As part of FSI’s 2013 State Outreach Plan, FSI staff have planned and executed meetings with state regulators and NASAA leadership to […]
On April 26, members of our staff attended (and FSI co-sponsored) the Jump$tart Coalition’s Financial Literacy Day on Capitol Hill. During this event, we were able to share with members […]
Name: Joseph Russo Title: CEO/Chair Company: Advantage Financial Group, Inc. Mantra: Eschew Obfuscation Hobby: Grandchildren For Joe Russo, his profession has a simple mission: to advise and advocate for clients […]
By David Bellaire, Financial Services Institute’s executive vice president and general counsel, originally published in InvestmentNews. In the post-2008 world, investor protection is a more crucial priority than ever for […]
FINRA’s withdrawal of its proposed rule on BrokerCheck has been big news in the past week. Coverage on the issue has come from Reuters, The Chicago Tribune, InvestmentNews, Financial Planning, […]
Earlier this April, FSI held the first of three Regional Discussions at Ameriprise in snowy Minneapolis, Minnesota. These roundtable discussions serve as an opportunity for the compliance and operations/technology professionals […]
As is often the case, things are happening fast in the world of social media. This is especially true when it comes to the proliferation of proposed bills – mainly […]
Independent financial advisors face an avalanche of regulation when it comes to their businesses. Of the many agencies that regulate advisors, they engage more often with FINRA than any other […]
