FSI in the News
Links to recent FSI in the news articles:
2011
August 23, 2011 - Please Don't Make Something Worse That Is Working - The Wall Street Journal
August 21, 2011 - California Backs Off on Tough Provisions in Proposed Law for Independent Contractors - Investment News
August 16, 2011 - FSI Helps Prevent Independent Contractor Burden In California - Financial Advisor Magazine
August 16, 2011 - FSI Helps Take Sting Out of Rules Aimed at California Reps - AdvisorOne
August 15, 2011 - Investors Capital Matching Advisors' FSI Contributions - AdvisorOne
August 12, 2011 - Investors Capital Will Subsidize FSI Memberships for its Advisers - Investment News
August 10, 2011 - LPL Conference Opens with New Initiatives, Support for Advisors - Registered Rep
August 8, 2011 - LPL and Financial Services Institute Form Partnership - PLANADVISOR
August 8, 2011 - LPL Financial Enrolls Its 12,600 Advisors With FSI - AdvisorOne
August 5, 2011 - FSI Goes Straight to Obama to Protest Labor Fiduciary Proposal - Investment News
August 4, 2011 - Obama Gets Earful of Advisors’ DOL Fiduciary Rule Complaints - AdvisorOne
August 1, 2011 - Do You Work For YOU-Or Your IBD? - Registered Rep
August 1, 2011 - In support of DOL's Fiduciary Rule - fi360
July 27, 2011 - FSI’s Brown Slams DOL Fiduciary Proposal - AdvisorOne
July 21, 2011 - Coming This Fall: Single Fiduciary Rule, Says Schapiro - Investment News
July 21, 2011 - Dodd-Frank, the IBD Perspective: FSI’s Chief Warns of Restricted Investor Choice - AdvisorOne
July 21, 2001 - Top 4 Dodd-Frank Concerns as Law Enters Second Year - AdvisorOne
July 20, 2011 - FSI to Back Moloney in FINRA Race - Investment News
July 19, 2011 - FSI: Dodd-Frank Hasn't Create An Effective Regulatory Environment - Financial Advisor Magazine
July 17, 2011 - Broker-Dealer Groups Heavily Armed in Fiduciary Battle - Investment News
July 17, 2011 - Dodd-Frank: As a Rule, the Going Has Been Slow - Investment News
July 17, 2011 - SRO Push is Gaining Momentum - Investment News
July 14, 2011 - CFA Reverses on Advisor SRO, Frustrated Over Lack of SEC Funding - AdvisorOne
July 13, 2011 - Consumer Group Wants Hand In Crafting Financial Advisor SRO - Financial Advisor Magazine
July 11, 2011 - Advisor Group's Larry Roth: Communicating a common vision - Investment News
June 24, 2011 - Independent Status of 60,000 Reps in Jeopardy, Investment News
June 23, 2011 - New Rules for California FAs, BDs Clears Hurdle, AdvisorOne
June 22, 2011 - Industry Group Fighting California's Efforts To Generated Added Paperwork For All Independent Contractors, Advisors4Advisors.com
June 21, 2011 - California Advisors, BDs Could Face New Employment Rules, AdvisorOne
June 20, 2011 - FINRA to Share Details on New Back-Office Staff Rules, AdvisorOne
June 14, 2011 - Lobby World, TheHill.com
June 9, 2011 - FSI Names New Communications Director, Silobreaker.com
June 9, 2011 - FSI Names New Communications Director, On Wall Street (From Financial Planning)
June 9, 2011 - Paulitz to Financial Services Institute, Potomac Flacks
June 9, 2011 - Financial Services Institute Hires Capitol Hill Veteran, Chris Paulitz, to Head Communications, Media Relations, TheHill.com
June 9, 2011 - Financial Services Institute Hires Capitol Hill Veteran to Head Communications, Media Relations, Linkedin
June 9, 2011 - FSI Names New Communications Director, Financial Planning Magazine
2010
September 17, 2010 - Washington Watch: Industry Heeds SEC’s Call for Comments, Investment Advisor
September 13, 2010 - How a surprising array of advisor groups aims to catch the SEC's ear, RIABiz
September 5, 2010 - Torrent of comments on fiduciary provision, Investment News
September 1, 2010 - Industry groups weigh in — and then some — on fiduciary provision, Investment News
August 31, 2010 - FINRA Eases Outside Biz Supervision, compliance reporter (login required)
August 31, 2010 - Old foes in the fiduciary debate join new battle to sway SEC's six-month study, RIABiz
August 31, 2010 - Groups Tell SEC to Take Hard Look at Fiduciary Norm, National Underwriter
August 31, 2010 - ‘The Fiduciary Reference’ Delivered to SEC Call for Comments, Wealth Manager magazine
August 31, 2010 - Boston University’s Call for Papers on Fiduciary Duty, Wealth Manager magazine
August 11, 2010 - Public Policy Forum to Discuss ‘Fiduciary Duty in a Brokerage Setting’, Investment Advisor
August 1, 2010 - Reform’s Impact on Advisors, Broker/Dealers, and Banks, Investment Advisor
August 1, 2010 - Broker/Dealer Briefing News and Products, Investment Advisor
August 1, 2010 - Impact of Financial Reform Bill on Advisors, Broker-Dealers and Banks, Research Magazine
July 26, 2010 - Compliance Depts Sweat Over 12b-1, fund action (login required)
July 25, 2010 - 12(b)-1 proposal may hurt investors, advisers contend, Investment News
July 25, 2010 - Broker-dealers blast SEC pricing plan for mutual fund fees, Investment News
July 21, 2010 - SEC to Give 12b-1 Fees a Structural Revamp, Investment Advisor
July 11, 2010 - Fiduciary battle moves to SEC, Investment Advisor
June 27, 2010 - Reaction to Financial Services Reform Bill Is Swift, Investment Advisor
June 27, 2010 - Congress passes fiduciary ball to SEC, Investment News
June 22, 2010 - Senate Reform Compromise Said to Be SEC Study With Fiduciary Authority at End, Investment Advisor
June 6, 2010 - SEC study gains upper hand in fiduciary-standard battle, Investment News
June 4, 2010 - FINRA Supervision Plan To Be Less Prescriptive, compliance reporter (login required)
June 1, 2010 - Next Steps for Congressional Action, Investment Advisor
June 1, 2010 - Tenacity, Investment Advisor
May 30, 2010 - Why are small broker-dealers disappearing?, Investment News
May 21, 2010 - Dodd Reform Bill POV: Dale E. Brown, Financial Services Institute President, Investment Advisor
May 21, 2010 - Dodd Reform Bill POV: Dale E. Brown, Financial Services Institute President, Wealth Manager magazine
May 6, 2010 - Debate continues: Fiduciary standard no panacea, RIABiz
May 1, 2010 - Thirty for Thirty, Investment Advisor
April 18, 2010 - Finra plan to increase power draws ire, Investment News
April 4, 2010 - State securities cops may soon see plates a lot fuller, InvestmentNews
March 21, 2010 - A win for Wall Street in the fiduciary battle, InvestmentNews
February 23, 2010 - Independent Brokers May Count As Employees, Financial Advisor
February 17, 2010 - Bill Said to Endanger Model of Independent Brokerages, American Banker (login required)
February 15, 2010 - A bridge too far, InvesmentNews
February 11, 2010 - Could New Legislation Hamper Independent Advisors?, Financial Planning
January 27, 2010 - Independent Broker/Dealers Celebrate Earned Credibility, Investment Advisor
January 24, 2010 - Brown victory in Massachusetts could delay - even derail - financial reforms, InvestmentNews
January 24, 2010 - Fear of the unknown, Investment News
January 10, 2010 - Departing Dodd's last hurrah: fiduciary standard reform, InvestmentNews
January 4, 2010 - FSI Comments on FINRA Rule 2510 Discretionary Account Change, Investment Advisor
2009
December 16, 2009 - FSI elects new chairwoman from small indy B-D, InvestmentNews
December 14, 2009 - Small Brokers Fight Auditing Proposal, Securities Industry News
December 9, 2009 - Reform Debate on Fiduciary Standard for FAs Heats Up, Research Magazine
November 29, 2009 - Small B-Ds decry Hill audit proposal, InvestmentNews
November 8, 2009 - Industry groups feeling the pinch from the economy, InvestmentNews
October 11, 2009 - FSI supports self-regulator for advisers, InvestmentNews
October 6, 2009 - FSI Urges Alternatives To Proposed Investor Protection Act, Registered Rep
October 6, 2009 - FSI to Financial Services Committee: Consider Middle-Class Investors, Financial Planning
October 6, 2009 - Industry Groups Differ On Fiduciary Standard, Financial Advisor
October 6, 2009 - Financial Services Institute Comments on Proposed Investor Protection Act; Supports Creation of New Universal Standard of Care in Financial Advice Industry, MSN Money
October 4, 2009 - Finra's proposed fee hike draws ire of FSI, SIFMA, InvestmentNews
September 13, 2009 - Schumer plan to let SEC keep fines, fees sparks controversy, InvestmentNews
August 31, 2009 - What your financial adviser's not saying, Marketplace
August 26, 2009 - Keep Bernanke, Now Focus on Regulation, Financial Planning magazine
August 17, 2009 - Proposed Changes to Tax Law Threatens Independent Advisor Status, Financial Planning
August 16, 2009 - The latest threat to independent advisers, Investment News
August 9, 2009 - B-Ds reel from higher SIPC fees - InvestmentNews
July 29, 2009 - Wary Investors Are Seeking Out Objective Voices, The Wall Street Journal (login required)
July 20, 2009 - FSI Criticizes Obama Reform Plan, Compliance Reporter
July 19, 2009 - Compensation: SEC mandate called too broad, InvestmentNews
July 9, 2009 - Suitability Proposal Gets Chilly Reception, The Wall Street Journal (login required)
June 22, 2009 - Industry Slams Scrutiny of Spousal Trading, Compliance Reporter
June 21, 2009 - Plan on fiduciary standard wins praise, InvestmentNews
June 14, 2009 - Outlook dim for adviser SRO in financial-reform proposal, InvestmentNews
April 28, 2009 - More Exams Of Advisors Expected, Financial Advisor magazine
April 20, 2009 - Industry Pushes to Block Rep Complaint Reporting Change, Compliance Reporter
April 19, 2009 - Class C shares set to go the way of the dodo, InvestmentNews
March 30, 2009 - Reaction mixed as SEC shelves reform of 12(b)-1 fees, InvestmentNews
March 30, 2009 - SIPC to address fee confusion, InvestmentNews
March 22, 2009 - Finra: Layoffs don't excuse lax oversight, InvestmentNews
March 22, 2009 - SEC keen to audit independents, InvestmentNews
March 9, 2009 - Broker Group Criticizes FINRA Reporting Plan, Compliance Reporter
March 8, 2009 - B-Ds look to new Finra chief to lead regulatory overhaul, InvestmentNews
March 8, 2009 - Round Table Transcript: Regulation amid scandal, InvestmentNews
March 8, 2009 - Lack of SEC enforcement called cuplrit in lax oversight, InvestmentNews
March 1, 2009 - The FSI’s Priorities Now, Investment Advisor
March 1, 2009 - FSI '09 OneVoice Conference Outlines Future of Independents, Research magazine
February 15, 2009 - Fears of state taxes on advisory fees rise as economy falters, InvestmentNews
February 13, 2009 - Independent Contractor Rep No More?, Registered REP
February 9, 2009 - Groups Pan FINRA Reporting Rule, Compliance Reporter
February 8, 2009 - 'Independent-contractor' debate brews, InvestmentNews
January 12, 2009 - Eric Schwartz elected chairman of FSI board, InvestmentNews
January 4, 2009 - Capsule: Dale Brown, Financial Services Institute, InvestmentNews
2008
December 18, 2008 - Finra likely to look outside for successor, InvestmentNews
December 14, 2008 - Groups unite on Capitol Hill, InvestmentNews
December 9, 2008 - SEC and Finra differ from states on personal data encryption, InvestmentNews
December 1, 2008 - Adviser Alert - New Regulatory Era, The Wall Street Journal
November 2, 2008 - SEC and Finra differ from states on personal data encryption, InvestmentNews
October 19, 2008 - Government's reach worries big-firm reps, InvestmentNews
October 12, 2008 - SEC criticized for poor oversight of brokerage firms, InvestmentNews
September 8, 2008 -Bear market mauling investors' attorneys, InvestmentNews
September, 2008 -What’s NEXT for Reg S-P?, Investment Advisor
June 30, 2008 -Brokers, advisers blast Finra proposal, InvestmentNews
June 3, 2008 -Comment Period Ends on Regulation S-P, Financial Planning
June 2, 2008 -How Safe Is Your Personal Data If Your Broker Changes Firms?, The Wall Street Journal (login required)
June 2, 2008 -In a first, regulators ask FSI for help, InvestmentNews
June 2, 2008 -Regulators Ask FSI for Help, Financial Planning
June 2008 -The Presidents Speak, Investment Advisor
June 2008 -Independents’ Optimism, Investment Advisor
June 2008 -The New Model: The Fee-Only Broker/Dealer, Investment Advisor
June 2008 -Two-Way Street, Investment Advisor
May 26, 2008 -Brokerage firms battle over proposed privacy rule, InvestmentNews
May 5, 2008 -Is It All in the Details?, The Wall Street Journal (login required)
May 5, 2008 -Indie brokers wary about CFP Board's ethics code, InvestmentNews
May 1, 2008 -Regulatory Tussle, Financial Planning
May 1, 2008 -On the Road to STP, Retirement Income Reporter
April 16, 2008 -The Effects of The NASD NYSE Merger, Broker Dealer Journal
April 7, 2008 -Advisers gear up to battle Treasury, InvestmentNews
April 7, 2008 -Separate broker/adviser oversight, brokerage exec urges, InvestmentNews
March 31, 2008 -A Sad Statement of Leadership, Investment Advisor
March 10, 2008 -Round Table: Regulation - Financial advisory industry at odds over Rand report, Investment News
March 10, 2008 -SEC rediscovers fiduciary roots in Next Financial case, InvestmentNews
March 10, 2008 -Indie broker-dealers welcome SEC plan, InvestmentNews
March 1, 2008 -Where Are the Women?, Financial Planning
February 5, 2008 -Brokerage Regulators Set Up Panel To Screen Big and Top-Priority Cases, The Wall Street Journal (login required)
Febraury 1, 2008 -Regulatory Roundup: Several important Rule changes are on the radar for 2008., Financial Planning
January 16, 2008 -FSI's Murphy Upbeat About ’08, Investment Advisor
January 7, 2008 -FSI names new chairman for 2008, InvestmentNews
2007
December 10, 2007 -Industry helped axe Michigan financial advice tax, InvestmentNews
October 29, 2007 -FSI defends 12(b)-1s on 'Capitol Hill Day', InvestmentNews
October 2, 2007 -Save 12b-1 Fees, Financial Planning
September 10, 2007 -Advocacy is not a spectator sport, InvestmentNews
September 1, 2007 -The Dual Reality, Financial Planning
June 4, 2007 -FSI girds for battle over 12(b)-1 fees, InvestmentNews
June 2007 -Independent B/Ds find opportunity in the face of changing winds, Investment Advisor
May 7, 2007 -FSI wants SEC to change its privacy rule, InvestmentNews
May 2007 -THE IA 25, Investment Advisor
March 12, 2007 -FSI hopes to state case to SEC consultants, InvestmentNews
March 2007 -An Independent Voice, Investment Advisor
2006
May 30, 2006 -FSI exec praises NASD broker-liaison program, InvestmentNews
February 13, 2006 -FSI zeroes in on state regulators, InvestmentNews
January 23, 2006 -With John W. Poff of the Financial Services Institute Inc., InvestmentNews
2005
September 26, 2005 -Which business model is cleaner? NASD won't say, InvestmentNews
August 15, 2005 -FSI calls proposed NASD contest rule 'anti-competitive', InvestmentNews
March 14, 2005 -FSI opposes rule proposal to alter SRO governance, InvestmentNews
March 7, 2005 -FSI seeks study on broker data, InvestmentNews
February 7, 2005 -FSI's goal: 20,000 reps in two years, InvestmentNews
January 31, 2005 -With Stephen A. 'Tony' Batman of the Financial Services Institute, InvestmentNews
2004
May 24, 2004 -Advocate for independent firms aims high, InvestmentNews
February 2, 2004 -Conference Call - Indy beginning: A call for a level playing field, InvestmentNews