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Articles tagged "Dale Brown"


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Edmund Murphy added to a blitz of attaboy comments by financial execs after draft appeared to seek delay of DOL rule.

How Trump's backtrack on DOL rule burned his most ardent anti-rule supporters and the opening Elizabeth Warren is exploiting

Threat of losing DOL rule sparks a new public consciousness and the Massachusetts Senator gives shout-out to Betterment, XY Planning and BlackRock

February 7, 2017 at 10:46 PM

Dale Brown via Skype: We filed the lawsuit to win, not to make a statement or lambaste the DOL.

Jaws drop after Dale Brown Skypes keynote address to Laser App conference with the claim: 'We were fiduciary believers long before being a fiduciary was cool'

The FSI chief's comments lit up Twitter then T3's Joel Bruckenstein and cleverDome announced a cybersecurity consortium at the San Diego gathering

August 15, 2016 at 8:03 PM

Lou Harvey: One of the ways to attack the reasonableness of the regulation is to allege that it is 'arbitrary and capricious,' which the complaint does repeatedly.

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

June 6, 2016 at 9:47 PM

Mark Casady has a new beard but his firm's views on fiduciary rules may differ from FSI by more than a whisker.

LPL reconsiders FSI as it drops out of its board, offers own DOL stand and hires own lobbyist

The giant IBD-custodian breaks from Financial Services Institute pack with pro-DOL statement as FSI posts more negative view on Labor Dept.'s 'fiduciary' definition

April 16, 2015 at 3:19 PM

President Obama: There are a whole lot of advisors that do put their clients first.

As President Obama takes the gloves off, pro-broker groups throw up 'sledgehammer' response

After a lot of waiting around FSI calls this news 'the real thing'

February 24, 2015 at 8:31 PM

Dale Brown: The SEC recognizes that working to harmonize standards is a good PR effort to improve its standing among consumer groups.

Dale Brown tells RIAs why SEC's fiduciary standard is too costly for their clients

Invoking his own parents' small nest egg, the FSI chief projects a 2015 Finra takeover of SEC duties for RIAs

April 26, 2013 at 4:26 AM

Dale Brown: We have no illusions that FINRA is a perfect regulator.  Some of the criticism it is receiving is valid.

In a pivot, Dale Brown tells Committee that 'SRO' is a 'misnomer'

FINRA is not self-regulating after all because its governing board is mostly made up of non-industry public members

June 6, 2012 at 6:06 PM

Karen Nystrom: This proposed bill is a big deal to advisors...We hold out hope that our message will be heard.

Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican

Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like

April 26, 2012 at 5:37 AM

Dale Brown is leading an expansion of the Financial Services Institute, the IBD's main lobbying group.

Nine things I learned as an RIA infiltrator in an IBD world

Squeezed by low-interest rates and high costs, IBD execs at FSI's OneVoice were looking to the RIA model with a little bitterness

February 4, 2011 at 2:11 PM

Barnaby Grist: An industry veteran announced her retirement at a sponsor dinner.  She said, quite simply, that with all the new regulations, the business just isn’t fun anymore.

Eavesdropping on FSI OneVoice: An industry under pressure, but looking for the opportunity

At FSI's largest conference ever, regulatory changes dominated the discussion

February 3, 2011 at 1:49 PM

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