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 — 7:41 PM UTC

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 — 8:43 PM UTC

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 — 8:03 PM UTC

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 — 10:19 PM UTC

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 — 3:19 PM UTC

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 — 4:26 AM UTC

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 — 7:08 AM UTC

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 — 5:11 AM UTC

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 — 5:22 AM UTC

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 — 6:06 PM UTC