Product Verification Process for Listing on WA Retirement Marketplace Now Open

October 31, 2016by financialservicesinstitute Leave a comment

Systems are now ready for financial services firms to seek product verification for the Washington Small Business Retirement Marketplace, which is set to go live in January 2017. The Marketplace […]

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Prompt Transmission of Funds No Action Letter

October 3, 2016by financialservicesinstitute Leave a comment

Our member firms will be happy to know that there has been a significant positive development in the “prompt transmission” of funds. Financial services firms have long struggled with the […]

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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.

Monthly Archives: October 2016

Product Verification Process for Listing on WA Retirement Marketplace Now Open

Prompt Transmission of Funds No Action Letter