Advisers ramping up discussions with legislators, regulators on key issues

With the midterm elections hanging over the national political landscape for most of this year, it’s no secret that very little significant legislation was passed at the federal level in 2014. Rather than waiting for the dust to settle, though, the Financial Services Institute Inc. and our financial adviser members have taken this as an opportunity to ramp up our engagement with lawmakers and regulators in the states, both to make our industry’s voice heard on new proposals that could affect advisers’ businesses and to work with state officials to make progress toward common goals.

Increasing engagement starts with dialogue, and financial advisers throughout the country have responded enthusiastically this year to our efforts to help them build relationships with state legislators and regulators. In 2014, more than 140 of our financial adviser members in 21 states took part in face-to-face meetings with state lawmakers and officials, working to educate them on the independent advisory business model and the differences between their practices and large Wall Street firms, among many other key topics.


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