Only One Reasonable Option Cited in SEC Study on SRO for Advisors
FSI’s Dale Brown responds to SEC recommendation on enhancing investment advisor exams
FSI Says 12b-1 Rule Change Will Confuse Investors, Be Ineffective
The Financial Services Institute warned of the "important unintended consequences" for IBDs, reps and clients should the SEC's proposed changes to Rule12b-1 be adopted.
Dissecting the FSI's Position on Fiduciary
The Financial Services Institute (FSI) has become, in essence, the red-headed stepchild in the fiduciary debate among advisory trade groups. FSI believes the Securities...
FSI Comments on FINRA Rule 2510 Discretionary Account Change
Asks FINRA to keep old NASD rule provisions
The FSI's Priorities Now
In a short five years, the members of the Financial Services Institute (FSI) have done their jobs well. While the 116 independent broker/dealers that are...
Since the leaders of the Investment Advisor Broker/Dealers of the Year last met with the IA editorial team for an intense roundtable, in August 2007,...
Coming Out Party
Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers....
Financial Services Institute (FSI) announced it ended 2007 with more than 12,600 active financial advisor members, a 141% increase over 2006. In 2007, FSI added...
FSI's Murphy Upbeat About '08
New Financial Services Institute (FSI) Chairman Brian Murphy is upbeat about the organization's agenda for 2008. Murphy is looking to "carry on" the work of his predecessors at FSI, which has been an effective advocate for the independent broker/dealer community, especially with lawmakers and regulators.
Retiring MSC Chief Reflects on LPL, Future of Small Broker-Dealers
Retiring MSC Chief Reflects on LPL, Future of Small Broker-Dealers Mutual Service Corporation, the largest of the three Pacific Life broker-dealers being acquired by LPL with...