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

Tag Archives: investors

State Advocacy in The Sunflower State

June 27, 2014by financialservicesinstitute Leave a comment

FSI is committed to advocating for its members on the federal and state levels. We’ve written a lot about the Department of Labor’s redefinition of ‘fiduciary’ rule, the importance of advisors’ […]

Read Article →
advocacy, elder abuse, independent financial advisors, small business, state issues

Advisors and Social Media: The Importance of Access

June 26, 2014by financialservicesinstitute Leave a comment

According to data from smarsh.com, not being engaged with clients or potential clients via social media could hamper relationships with a younger generation of investors. The 2014 study provided some […]

Read Article →
finance, financial literacy, independent financial advisors, small business, social media

The Case for a Durable Income

March 26, 2014by financialservicesinstitute Leave a comment

Opinions differ as to what constitutes Durable Income. For example, is investing in traditional fixed income such as in government treasury or in corporate bonds the same thing as investing […]

Read Article →
independent financial advisors, small business

The Quest for Tomorrow’s Affluent Clients Starts Today

January 15, 2014by financialservicesinstitute Leave a comment

Take a look around: the faces—and needs—of the affluent population are changing. Greater diversity, emerging sources of wealth and other new dynamics require advisors to keep up. How can an […]

Read Article →
independent financial advisors

How Advisors with Hearing Disabilities Inspire

January 6, 2014by financialservicesinstitute Leave a comment

Originally published in FSIVoice. Regardless of market cycles, shifting demographics or changes in technology, there remains no more powerful driver in helping a client realize his or her financial goals […]

Read Article →
independent financial advisors, small business

Securities Talks

July 3, 2013by financialservicesinstitute Leave a comment

By Chris Hayes, FSI State Regulatory Affairs Counsel The meetings continue! As part of FSI’s State Outreach Plan, I recently traveled to Ohio along with FSI members Lynn Goebel of […]

Read Article →
government regulation, independent financial advisors, small business

Keeping SIPC Focused

June 10, 2013by financialservicesinstitute Leave a comment

Since the Securities Investor Protection Corporation (SIPC) was formed in 1970, the safeguards it provides have become a key factor in how Main Street Americans think about investing. Every year, […]

Read Article →
government regulation, independent financial advisors

BrokerCheck: Rule Withdrawn, A Better One To Come

April 29, 2013by financialservicesinstitute Leave a comment

FINRA’s withdrawal of its proposed rule on BrokerCheck has been big news in the past week. Coverage on the issue has come from Reuters, The Chicago Tribune, InvestmentNews, Financial Planning, […]

Read Article →
FINRA, government regulation, social media

Post navigation

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
Advertisements

Search

Archives

Recent Posts

  • How FSI will work to protect advisors and investors at the state level in 2019
  • Grassroots Champion: Hannah Buschbom of The W Source
  • OneVoice 2019 Preview
  • Advocacy Spotlight: Celebrating the Senior Safe Act
  • Providing Testimony to New Jersey Bureau of Securities

Tags

advocacy arbitration Baby Boomers best practices broker-dealers brokercheck capitol hill clients compliance Congress cybersecurity Dodd-Frank DOL economy education elder abuse elections events fiduciary financial advice financial advisors FINRA fiscal cliff government regulation grassroots independent contractors independent financial advisors investment advisory services investors JOBS Act legislation Main Street Americans marketing mediation money market funds Obama OneVoice operations practice management President regional discussions regulation SEC Senate Banking Committee SIPC social media succession planning taxes tax reform technology

Financial Services Institute (FSI)

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

Website

  • www.financialservices.org

WordPress

  • Register
  • Log in
  • Entries RSS
  • Comments RSS
  • WordPress.com
Blog at WordPress.com.
Cancel
Privacy & Cookies: This site uses cookies. By continuing to use this website, you agree to their use.
To find out more, including how to control cookies, see here: Cookie Policy