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.

Main Menu

Skip to content
  • About

Category Archives: government regulation

FINRA: Moving in the Right Direction

February 6, 2018by financialservicesinstitute Leave a comment

The past year has been a time of significant change not only for our industry, but for our regulators, as well. In particular, FINRA – where Robert Cook took over […]

Read Article →
FINRA, FSI, independent financial advisors

FINRA Dispute Resolution Task Force Final Status Report & Recommendations

February 22, 2017by financialservicesinstitute Leave a comment

In June 2014, FINRA formed a Dispute Resolution Task Force to consider possible enhancements to its arbitration and mediation forum. A year earlier, FSI had also formed our own Arbitration […]

Read Article →
advocacy, FINRA, FSI, independent financial advisors

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 […]

Read Article →
advocacy, government regulation, independent financial advisors, SEC

SEC Announces Exam Initiative

August 22, 2016by financialservicesinstitute Leave a comment

On July 13, the SEC’s Office of Compliance, Inspections and Examinations (OCIE) announced that it is undertaking an initiative to address the risk that registered advisors may be making certain […]

Read Article →
government regulation, independent financial advisors, SEC

Overtime Pay Rule Changes Will Impact Our Industry

May 13, 2016by financialservicesinstitute Leave a comment

In 2014, the Administration began an effort to update the rules surrounding federal wage and hour standards. As part of that effort, the Department of Labor (DOL) released a proposal […]

Read Article →
advocacy, department of labor, government regulation, independent financial advisors

FINRA Guidance: Pension Income Stream Products

May 2, 2016by financialservicesinstitute Leave a comment

On April 19, 2016, FINRA released regulatory guidance to member firms regarding sales of pension income stream products. These products typically involve an up-front lump sum payment to a pensioner […]

Read Article →
FINRA, government regulation, independent financial advisors

Letter to Congress: Stop the DOL Rule Now

May 2, 2016by financialservicesinstitute Leave a comment

On Wednesday, April 27, several financial services trade associations, including FSI, sent a letter to Congress regarding H.J. Res. 88. This joint resolution disapproves the recent rule submitted by the […]

Read Article →
advocacy, department of labor, government regulation, independent financial advisors

FINRA and SEC Exam Priorities

January 15, 2016by financialservicesinstitute Leave a comment

Recently, both FINRA and the SEC have issued their 2016 Exam Priorities. Both letters include several overlapping topics and reflect regulators continued focus on retail investor protection. Below please find […]

Read Article →
FINRA, government regulation, independent financial advisors

DOL’s fiduciary exemption is not a workable option for advisers

December 4, 2015by financialservicesinstitute Leave a comment

Despite months of media attention and frequent discussion within our industry, many financial advisers are only beginning to grasp the implications of the Labor Department’s effort to expand its definition […]

Read Article →
department of labor, FSI, independent financial advisors

Update: FINRA’s CARDS Proposal

November 20, 2015by financialservicesinstitute Leave a comment

In a significant win for FSI and our industry, FINRA Executive Vice President of Regulations Susan Axelrod announced recently that her agency will no longer pursue its Comprehensive Automated Risk […]

Read Article →
FINRA, independent financial advisors

Post navigation

1 2 … 13 Next →

Financial Services Institute

Financial Services Institute

Financial Services Institute

  • Warning Signs a Client is Considering Changing Advisors advisornews.com/innarticle/six… via @AdvisorNews1 4 hours ago
  • Actuary: Huge Pensions Cuts Likely Without PBGC Fix thinkadvisor.com/2018/04/19/mee… via @ThinkAdvisor 5 hours ago
  • Survey: Majority Uninterested in Government-Managed Retirement Plans insurancenewsnet.com/innarticle/ame… via @InsNewsNet 7 hours ago
  • SEC Proposes Conduct Standard for Advisors wealthmanagement.com/industry/sec-r… via @wealth_mgmt 8 hours ago
  • SEC Proposes Conduct Standard for Advisors, Restrictions on "Advisor" Title financial-planning.com/news/sec-propo… via @finplan 10 hours ago
Advertisements

Search

Archives

  • March 2018
  • February 2018
  • January 2018
  • June 2017
  • May 2017
  • April 2017
  • March 2017
  • February 2017
  • December 2016
  • October 2016
  • September 2016
  • August 2016
  • July 2016
  • June 2016
  • May 2016
  • April 2016
  • March 2016
  • February 2016
  • January 2016
  • December 2015
  • November 2015
  • October 2015
  • September 2015
  • August 2015
  • July 2015
  • June 2015
  • May 2015
  • April 2015
  • March 2015
  • February 2015
  • January 2015
  • December 2014
  • November 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • June 2014
  • May 2014
  • April 2014
  • March 2014
  • February 2014
  • January 2014
  • December 2013
  • November 2013
  • October 2013
  • September 2013
  • August 2013
  • July 2013
  • June 2013
  • May 2013
  • April 2013
  • March 2013
  • February 2013
  • January 2013
  • December 2012
  • November 2012
  • October 2012
  • August 2012
  • July 2012
  • June 2012
  • May 2012

Enter your email address to follow this blog and receive notifications of new posts by email.

Recent Posts

  • DOL Proposal on Association Health Plans Could Help Advisers
  • Court Vacates DOL Fiduciary Rule; Our Focus Turns to SEC Uniform Fiduciary Standard
  • FSI Aims For Workable Best-Interest Standard This Year
  • FINRA: Moving in the Right Direction
  • GRASSROOTS CHAMPION — COMMONWEALTH INVEST IN OTHERS AWARD

Tags

408(b)(2) advocacy anniversary arbitration Baby Boomers best practices broker-dealers brokercheck capital gains capitol hill CEO clients comment letter compliance Congress cybersecurity debt Dodd-Frank DOL economy education elder abuse elections equities events fiduciary financial advice financial advisors Financial Services Committee FINRA FINRA CARDS fiscal cliff FSI TV FSOC generation x generation y government regulation grassroots independent contractor independent contractors independent financial advisors investment advisory services investors JOBS Act legislation main street Main Street Americans marketing mediation money market funds National Discussions Obama OneVoice operations practice management President regional discussions regulation RIAs Romney SEC Senate Banking Committee sequestration SIPC small business social media spending succession planning suitability Super-OSJs taxes tax reform technology wall street Yes We Will

Financial Services Institute (FSI)

607 14th Street NW | Suite 750 | Washington, D.C. 20005

Website

  • www.financialservices.org

WordPress

  • Register
  • Log in
  • Entries RSS
  • Comments RSS
  • WordPress.com
Create a free website or blog at WordPress.com.
Cancel