Advisers missing major wrinkle in DOL’s fiduciary rule
Proposal would force RIAs to comply with both the SEC standard and Labor Department’s rule, FSI says Guest blog post by Dale Brown Since the Labor Department reproposed its draft […]
Monthly Archives: October 2015
Special Preview: 2015 Financial Advisor Summit
As you know, what happens in Washington directly impacts your business and this one-of-a-kind conference will give you a jump start on your competition by learning the latest issues coming […]
FSI’s 2015 West Coast Regional Discussions: A Success in San Diego
Last week, on October 6, FSI held the first of three Regional Discussions in sunny San Diego. These roundtable discussions serve as an opportunity for the compliance, operations and technology […]
BrokerCheck Link Rule Approved
The SEC last week approved a Finra rule requiring links to the BrokerCheck disciplinary database be included on the websites of broker-dealers, registered reps and branch offices. Under the plan, […]
The best rules for business, investors come from regulators’ working with industry
What distinguishes effective regulation from ineffective rules that do not achieve their promised public benefits and needlessly drive up costs to important industries? It’s a complex and vital question, and […]
