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.
FSI Celebrates 10th Anniversary ‘Where the Action Is’
Business consultant John Spence kicked off FSI OneVoice with a blizzard of advice for the nearly 800 IBD attendees.
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.