DOL Fiduciary Redraft Opposed by 90% of FSI Advisors: FSI Poll
Advisors say the DOL should not redefine fiduciary under ERISA, according to an FSI poll. Most advisors also think the GOP will win the Senate.
5 Most Honored 2014 IA 25 Honorees
As a testament to their enduring influence, several of our current honorees have been here before.
The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.
New Hire Roundup: LPL President Moore Elected to FSI Board
Also, DoubleLine adds four and AssetMark names Natalie Wolfsen chief commercialization officer.
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 Profile
This is the eighth year that Dale Brown has been on the IA 25 list.
The 2014 IA 25 Special Report
This is the 12th year that we have published the IA 25, our annual list of the most influential people in and around the advisor industry.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
IBD Regulation: Broken Windows, Broken System
We’ve already seen the impact of the “broken window” approach, with minor offenses treated as major offenses and major ones as potential career enders.
FINRA Backs Off Collecting Personal Data in CARDS Plan
Submission of information will not include individual account names, addresses or tax identification numbers.
‘Improving’ FINRA Among Top Goals for BD Lobby
FSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.