Financial Services Institute

The Financial Services Institute advocates for a more business-friendly regulatory environment for independent financial services firms and independent financial advisors in Washington D.C. Read about the latest FSI development in this blog, and visit our main site at financialservices.org.

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Monthly Archives: October 2015

Advisers missing major wrinkle in DOL’s fiduciary rule

October 26, 2015by financialservicesinstitute Leave a comment

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 […]

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department of labor, independent financial advisors

Special Preview: 2015 Financial Advisor Summit

October 22, 2015by financialservicesinstitute Leave a comment

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 […]

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events, independent financial advisors

FSI’s 2015 West Coast Regional Discussions: A Success in San Diego

October 21, 2015by financialservicesinstitute Leave a comment

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 […]

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independent financial advisors

BrokerCheck Link Rule Approved

October 13, 2015by financialservicesinstitute Leave a comment

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, […]

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advocacy

The best rules for business, investors come from regulators’ working with industry

October 9, 2015by financialservicesinstitute Leave a comment

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 […]

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FINRA

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Financial Services Institute

Financial Services Institute

Financial Services Institute

  • Exec: Clients base advisor value on perception, not reality via @ThinkAdvisor thinkadvisor.com/2019/02/13/joe… 2 days ago
  • Fed's Harker agrees with cautious approach to raising rates via @WSJ wsj.com/articles/feds-… 2 days ago
  • Economists: Odds of US recession increase to 25% via @Reuters reuters.com/article/us-usa… 2 days ago
  • Trump to avert shutdown but vows emergency declaration via @Reuters reuters.com/article/us-usa… 2 days ago
  • FINRA warns advisors of email phishing scam via @Think_MelanieW & @ThinkAdvisor thinkadvisor.com/2019/02/14/fin… 2 days ago
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  • How FSI will work to protect advisors and investors at the state level in 2019
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Financial Services Institute (FSI)

1201 Pennsylvania Ave. NW | Suite 700
Washington, D.C. 20004

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  • www.financialservices.org

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