Articles tagged "FSI"
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'Poof, it's gone!' DOL quietly strips two heavy lifts from the fiduciary rule as it makes delay official
The Department of Labor effectively makes the 60-day delay into a 270-day one as part of document that was supposed to only formalize the postponement until June 7
April 5, 2017 at 7:41 PM
Critic calls 'laughable' FSI study that shows only 14% of advisors want DOL rule to stay
The lobby group that sued to stop the DOL rule surveyed 1,300 member stockbrokers -- of whom 71% voted for Donald Trump
December 1, 2016 at 8:43 PM
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
LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI and LPL don't reveal any divide
The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House
June 8, 2016 at 10:19 PM
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
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
LPL's Bill Dwyer decides to call it quits and Robert Moore is taking over his duties
The make-it-happen statesman salesman atop a B2B selling scheme cedes control to a Mark Casady favorite
March 1, 2013 at 7:08 AM
Kelli Cruz and Jennifer Specter leave consulting unit at InvestmentNews for new 'come-to-Jesus' venture
The departures mark some big changes at IN away from consulting to advisors
January 16, 2013 at 5:11 AM
What LPL's recruitment of a $2-billion beehive of NPC advisors says about its new sweet spot in the industry
Joe Russo's choice reframes LPL's identity from a conventional IBD to a central bureau that can serve the regional advisor-servicing companies in a growing number of instances
August 3, 2012 at 5:22 AM
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
An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2
FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman
May 31, 2012 at 5:24 AM
New FSI chairman isn't sugarcoating FINRA's shortcomings but blasts the SEC on porn and Blackberries in this letter
Joe Russo says that 25% of his group's own membership doesn't favor extending FINRA's dominion to RIAs
May 30, 2012 at 5:18 AM
Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1
Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel
May 30, 2012 at 4:37 AM
FINRA comes up with cost projections for its SRO and the CFP Board blasts them
FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"
May 14, 2012 at 3:59 AM
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
