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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.
24 posts
Orion And Hedge Fund Research Weigh In On U.S. Midterm Elections
Orion Webinar Sheds Light On How U.S. Midterm Elections May Impact Advisors’ Clients, HFR Data Shows Hedge Funds…
How to Find the Right Lawyer
Reader Faces FINRA Arbitration From Heirs for Risk-averse Investing, Asks How To Choose Right Lawyer Mention a Midwestern…
Congress May Be in Recess, But It’s Not Summer Break
Now Is the Perfect Time to Get Involved in Our Ongoing Legislative Advocacy Initiatives While Congress takes a…
Progress Towards Fairness for ERISA Defined Contribution Plans
Defined Contribution Plans Gain Some Regulatory Clarity That Traditional Pension Plans Enjoy, but More Progress Still Needed An…
Supreme Court’s EPA Ruling Could Kill Fiduciary Rule 2.0 Efforts
SCOTUS Conservative Majority’s Ruling on EPA Has Significant Implications for Wealth Management Regulatory Landscape Wealth management compliance and…
FSI Launches New FSI Exchange Event for 2022
FSI Exchange Virtual Event on July 18-20 to Update Industry on Changes and Legislative and Regulatory Developments and…
Breakaway Advisors Launching RIAs Anxious About Compliance
Wirehouse Advisors Exploring Independence Increasingly Worried About Potential Compliance Needs, Seeking Cost-Flexible Solutions It’s officially the middle of…
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…
