New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
‘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.
Record Attendance, Upbeat Mood at FSI Conference
The new year finds the Financial Services Institute optimistic and on a roll.
FSI’s FA Membership Growth Strategy Appears to Be Working
Subsidizing individual FA membership gets advisors in the door, and advocacy success keeps them, says FSI leadership.
Slow and Steady Wins the Reg
In 2013, FSI’s main priorities will be engaging politicians on relevant regulations and legislation, like the DOL's fiduciary rule, BDs’ independent contractor status as well as certain provisions of Dodd-Frank.
FSI Adds to Board, ‘Strengthens Focus’ on Small Broker-Dealers
The cavalry is coming. Advocacy organization announces three new members to its board and a renewed commitment to small and mid-size broker-dealers.
Last month, I gave a one-day practice-building workshop for ProEquities, Inc., concluding one of many business management conferences they offer their affiliated advisors each year....