The Most Effective and Cost-Efficient SRO for Advisors? FINRA
Fragmented oversight constitutes a serious risk for the Main Street investor; the established SRO is the best way to ameliorate that risk.
How to Make Your Voice Heard With Regulators in Your Own Backyard
A good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.
Fierce Opposition to Labor Department’s Fiduciary Proposal
As comments from the House committee hearing over the redefinition make clear, opposition to the DOL’s redefinition of ‘fiduciary’ is bipartisan and fierce.
SEC’s Money Fund Proposals: More Confusion for Investors
A proposed freeze for account holders and creating ‘floating’ value money market funds would only sow more confusion among Main Street Americans. Is that a good idea?
What Problem Exactly Is DOL Trying to Solve by Redefining ‘Fiduciary?'
One thing we do know: the significant unintended consequence of forcing higher fees for IRA investors.
FSI Fights Back, and Wins, Against Threat to IRAs
The latest win by FSI’s ‘Rapid Response’ team: retaining benefits of stretch IRAs in Congress.
FSI to Spotlight Members’ Opinions: 2012 Politics and Equities Outlook
The opinions of our membership should be heard by regulators and legislators. In our first survey of our 35,000 advisor members, we focused on headline political, economic, tax and regulatory issues.
Despite FSI’s Recent Accomplishments, Complacency Is Not in Our Vocabulary
In his premiere blog for AdvisorOne, Dale Brown of FSI writes that "our competitive advantage is the compelling story of independent financial advisors helping clients in communities all across America with their Main Street financial goals."
Only One Reasonable Option Cited in SEC Study on SRO for Advisors
FSI’s Dale Brown responds to SEC recommendation on enhancing investment advisor exams
Independent broker/dealers - Healthy, but at risk
Christopher Cox, chairman of the SEC, told an interesting story last November. The Roman Emperor Claudius, whose wife tried to kill him with poisonous mushrooms,...