Former SEC Compliance Chief, State Securities Regulator Hit Compliance Hot Buttons
At the FSI OneVoice 2012 conference in Orlando, a panel including John Cronin, securities director for the state of Vermont, and former SEC official John Walsh, focus on the recently announced joint SEC-FINRA effort to examine BD branches.
10 Top Tech Trends for BDs: FSI OneVoice 2012
A panel of leading advisor partner technologists discussed how technology trends here already and on the horizon will affect independent broker-dealers.
Best Practices and Worst Pitfalls of Great Companies: FSI OneVoice 2012
In a rapid-fire, and at times emotional, closing keynote on Tuesday, author and business consultant Simon Sinek implored audience members at FSI’s conference in Orlando to go beyond the norm in how they think of themselves, their product and their clients.
ICC’s Tim Murphy, ‘Business Good, Markets Bad’: FSI OneVoice 2012
In an interview on Tuesday with AdvisorOne at FSI’s conference in Orlando, ICC president and CEO Tim Murphy says he's optimistic about 2012.
FSI Doubles FA Membership in One Year. Will They Stay?: FSI OneVoice 2012
FSI’s senior staff and leadership discussed the organization’s strong growth rate, regulatory challenges faced by IBDs and the issues they face when attempting to bring “quality, affordable financial advice to middle America.”
Small Broker-Dealers Under Fire but Confident: FSI OneVoice 2012
Fee compression, new regulation and industry consolidation are threatening the independent broker-dealer business, especially smaller firms, experts say, leading some to openly question whether these firms will survive.
10 Signs of a Doomed Leader: FSI OneVoice 2012 Keynoter
Why do leaders fail? It was a key question posed by lecturer and bestselling author Dr. Stephen Mansfield during the opening keynote Monday afternoon at the FSI OneVoice Conference in Orlando.
FSI OneVoice 2012: Warning to Regulators From Spider-Man, Other IBD Leaders
At annual confab of independent BD leadership, Jim Nagengast, conference chairman, opened the forum espousing industry unity and warned Washington to not abuse its regulatory power.
FSI Reports Record Attendees for Annual OneVoice Conference
More than 600 registrants and 65 exhibitors already for Jan. 23-25 conference for independent broker-dealer advocacy group.