Displaying 237 results
Devil is in the detail of Finra’s new remote inspections pilot
FSI will work constructively with the regulator to find the best way forward, just as it did over residential supervisory location designations.
ESG rules shouldn’t make it harder for advisors to do business
Politicians and regulators shouldn't be unduly favoring or burdening particular investment vehicles.
The problem with the SEC’s deluge of rule proposals
The pace and breadth of the agency's current rulemaking is not allowing for constructive criticism from the people implementing the rules.
Does the 60/40 rule need revising given the surge in alts?
At a panel at FSI OneVoice, one speaker suggested the revised math for portfolios could wind up in the neighborhood of 55% stocks, 35% bonds and 10% alternative investments.
Rising interest rates not a killer for RIA M&A
Meanwhile, though, some RIA buyers are 'dancing' to get necessary capital to do deals, says Dan Seivert of Echelon Partners.
Restricting advisers’ independent contractor status is a no-win for everyone
It's critical that the DOL and members of Congress hear from advisers what their independent classification means, not just to them but to their clients as well.
Pushing to bolster retirement readiness with SECURE 2.0
The legislation is a necessary step to ensure that more and more Americans can live comfortably once they stop working.
Fending off taxes, fees and other state threats to adviser autonomy and growth
Fees, financial literacy and the freedom to work as an independent contractor are all under debate in state legislatures — and relevant to the growth of advisers' practices
Policy trumps democracy for most lobbyists ahead of midterms
Many trade groups representing financial advisers have donated to at least one lawmaker who objected to certifying the 2020 presidential election.
Advisers, brokers to continue paying Tennessee tax
The state imposes an annual $400 levy, the so-called privilege tax, on members of certain professions who do business in the state.
FSI, FPA fight state-level taxes on financial advisers
A bill in Tennessee would eliminate a privilege tax levied on investment advisers. A proposal to tax financial advice was stopped in Kentucky.
Protecting vulnerable people from financial fraud
Seniors lose more than $3 billion annually as a result of financial scams and other forms of elder abuse, and as baby boomers continue to age, this already staggering figure is sure to rise.
Advisers see increased opportunity in new fintech tools
The majority of advisers said that while they're satisfied with their current technology, further enhancements could spur additional growth this year, according to a survey by Broadridge Financial and FSI.
FSI launches program to boost diversity among independent advisers
FSI is partnering with Inroads to encourage its member firms to offer paid internships for students of color.
Gensler warns financial industry not to push into regulatory gray areas
In a recent public appearance, the SEC chair addressed so-called 'regulation by enforcement' without mentioning it by name.
Significant progress made on advocacy priorities of our industry
While 2021 presented several challenges, there were also many positive legislative and regulatory developments over the course of the year.
Industry, investor advocates differ on NASAA’s unpaid arbitration model rule
Generally, financial industry groups encouraged state regulators to narrow the measure, while advocates want them to expand it.
Evolving investor education in the age of meme stocks
The deluge of information available about investing has driven many young people to gravitate toward the largest, loudest and most popular financial influencers on various message boards and online video channels.
Toward a national auto-IRA
While industry groups argue the programs will take business away from advisers, there are still ways to get involved in the retirement planning process.
Driving diversity and inclusion in the independent financial services industry
To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.