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What Regulators Say They’re Regulating In ’16

January 29, 2016

JANUARY 27, 2016 |

There’s never a dull moment on the financial regulatory front, and this year will be no exception with a number of issues on both the front and back burners that could potentially impact financial advisors across various industry channels.

At the Financial Services Institute’s OneVoice conference Tuesday in Orlando, top officials at the Financial Industry Regulatory Authority, the U.S. Securities and Exchange Commission and the North American Securities Administrators Association sat down with FSI president and chief executive Dale Brown to talk about their top priorities in 2016.

FSI, an advocacy group representing more than 100 independent advisor and broker-dealer firms and 35,000 financial advisor members, has been beating the drum in opposition to perhaps the most contentious issue on the regulatory docket this year: The U.S. Department of Labor’s proposal to apply a fiduciary standard to all financial advisors providing investment advice for a fee to a retirement account plan or participant.

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Second Annual Blue Vault Broker Dealer Educational Summit 2016
Broker Dealer Educational Summit 2016
April 14, 2016

The Blue Vault Summit could not have been more perfectly timed. This gathering of the Broker Dealer and Sponsor communities provided insightful and open discussion from several vantage points. These conversations are paramount, especially in a time of significant regulatory change.