BDs Increasing Protection Against Cyber Breaches, Survey Finds
'Some firms have been the subject of benign incidents but haven’t realized it yet,' says Sutherland's Rubin.
FSI Pushes Investors to Weigh in on DOL Fiduciary With New Microsite
While FSI advisor members have been sending thousands of letters, the site will give retail investors "a voice in Washington," says FSI's Brown.
‘Dissident’ Candidate Vies for FINRA Board Seat
With FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
FSI Tells Lawmakers Why DOL Fiduciary Plan Is U.N.W.O.R.K.A.B.L.E.
FSI "fact sheet" uses each letter in the word "unworkable" to explain the current DOL redraft’s faults.
The 2015 Broker-Dealer Presidents Poll
Broker-dealer presidents are fierce competitors, and while they may cooperate in areas of advocacy—as they do notably as members of the Financial Services Institute—they all want nearly the same representatives.
Dale Brown: Architect of FSI—The 2015 IA 35 for 35
In a short 11 years, the Dale Brown-led FSI has grown in membership and budget while staying focused on IBD advocacy.
New Hire Roundup: FSI Elects Commonwealth’s Rooney to Board
Meanwhile, Thomas Franco joined Virtus Investment Partners, and Kenneth Shimberg went to Mercer.
The 2015 IA 35 for 35
These advisor advocates, investors, politicians and thought leaders have stood out over the past 35 years and will influence financial services for decades to come.
529 College Plan Bill to Be Debated in Senate Committee
The bill is intended to "modernize" 529 plans and would designate computers as a qualified expense, among other provisions.
DOL Not Budging on Fiduciary Rule Comment Period
Labor Secretary Thomas Perez says that the current timeline, including a hearing and another chance to comment, is "a long time."