With 10 Years’ Experience, FSI Flexes Its Advocacy Muscles
FSI marks its 10th anniversary with more individual members and with greater influence in Washington and the states, says its leader, Dale Brown.
FINRA’s Hot-Button Exam Issues for 2014
In its annual list of hot exam items, FINRA warned broker-dealers that it would be zeroing in on a host of areas this year.
SEC Tags Fiduciary as 'Long-Term' Action; Advocates Unfazed
The fact that a fiduciary rulemaking is on the SEC’s agenda at all "suggests to me that we are moving closer," says CFA's Barbara Roper.
New Hire Roundup: FSI Names Valerie Brown, Others to Key Posts
Execs of Cetera, Raymond James, Cambridge and First Allied will take key roles at FSI. Meanwhile, a Vanguard fund manager resigns.
Advisor Opposition to DOL Fiduciary Revamp Still Strong: Poll
The poll by FSI also gauged advisors’ stance on a number of other issues, like the economy, taxes and succession planning.
FSI Adds 250 New Members Through Girard Securities
The advocacy organization says its membership renewal rate remains high.
FSI Adds 500 New Advisor Members From Geneos, Kovack
Independent BD group adds new members through subsidies from two member firms: Geneos Wealth Management and Kovack Securities.
The Women Leading the Fiduciary Charge
Phyllis Borzi and Mary Jo White are two tough ladies with two tough jobs.
FSI Unveils New Social Network
At its first Advisor Summit, FSI showed a revamped website and social network and gave a sneak peek of its coming app.
DOL Fiduciary Plan Hits Delay, Borzi Says
The revamped proposal will include IRAs, DOL assistant secretary Phyllis Borzi confirmed at the FSI advisor summit.