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Articles tagged "FSI"


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Marcia Wagner: [It] essentially eliminates the need for transition agreements, disclosures and certain structural changes -- such as the appointment of a BICE officer -- that were formerly required to be in place on the applicability date.

'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

Chris Paulitz warned of “untold liability exposure and class action lawsuits"

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

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

LPL put four people in a new Washington D.C. office with a criss-crossing legislative agenda in mind.

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

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

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

Bill Dwyer is at peace with his decision to leave -- and it was his decision, according to John Hyland.

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: There's a lot of: What am I going to be when I grow up?

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

Joe Russo: We needed to get our minds around the changing state of affairs.

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

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

Ron Rhoades: "Suitability" is a failed doctrine. FINRA itself is a colossal failure, by any measure.

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

Joe Russo: Everyone in D.C. knows that this Congress is never, ever, going to give the SEC more money.

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

Ron Rhoades: FINRA was already an expert at protecting its large Wall Street firms from competition.

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

Marilyn Mohrman-Gillis: The organization that appears to be pulling numbers out of thin air is FINRA.

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

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

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