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Beltway and Beyond
KEEPING YOU UP TO SPEED ON REGULATORY, LEGISLATIVE, COMPLIANCE AND LEGAL AFFAIRS
Keeping wealth management firms and other industry participants aware of regulatory, legislative, compliance and legal trends – And how to stay ahead of the curve.
17 posts
Fight for Independent Contractor Status Becomes Multi-Front Battle
US Department of Labor, House of Representatives and State Governments All Areas Where Victory is Essential for Future…
FSI’s Dale Brown Sounds Alarm on Aspects of the PRO Act
Financial Services Institute’s CEO Calls on Lawmakers to Preserve Advisors’ Choice to Work as Independent Contractors In a…
FSI Partnership With INROADS Develops Diversity, Equity and Inclusion
As Part of Ongoing Diversity and Inclusion Initiative FSI’s Member Firms Will Team With INROADS to Create Mentorships…
FSI’s Dale Brown: Advocacy Critical to Serving the Industry
FSI’s CEO Details Current State of Industry Advocacy at OneVoice Event, Announces Diversity Initiative and Study Results on…
Case Study – How Small IBDs Can Leverage Compliance To Accelerate Growth Turnaround Strategies
Small and mid-sized independent broker-dealer / RIA firms that have recently recovered from regulatory-related challenges can mobilize compliance…
Public Spending in 2022: In Biden’s House Are Many Manchins
Joe Manchin Didn’t Trigger Doomsday and Build Back Better’s Infrastructure Spending Will Stimulate the Economy With all the hand wringing, name calling and…
The Crypto Craze Could Murder Financial Advisors’ Careers
Efforts to Wrap Professional Asset Management Structures Around Crypto Currencies Disguise Enormous Risks to Financial Advisors If a…
Can Firms and Financial Advisors Beat Back Cybersecurity Threats?
Cybersecurity and Regulatory Risks Intersect – FSI, BNY Mellon, Entreda and SEI Discuss How Wealth Management Industry Should…
Staying Ahead of Compliance and Regulatory Trends for HNW and UHNW Wealth Managers
How Independent Firms Focused on HNW and UHNW Clients Can Avoid Regulatory or Compliance Issues While Growing on…
Let’s Never Lose Sight of Advocacy for Main Street American Investors
FSI Honors Member Efforts to Advocate for Main Street American Investors and the Wealth Management Industry FSI’s advocacy…
