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Investment Advisor March 2008 James J. Green	Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever.
Investment Advisor February 2010 Marlene Y. Satter	Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute.
Investment Advisor March 2009 James J. Green	The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
Investment Advisor March 2007 Kathleen M. McBride	An Independent Voice The Financial Services Institute kicked off its annual conference at Disney World with the group's new chair, John Simmers, CEO of ING Advisors Network, introducing an ambitious agenda for 2007.
Investment Advisor June 2008 Kathleen M. McBride	Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
Registered Rep. December 30, 2009 Christina Mucciolo	Independent Contractor Status On Senate's Agenda in 2010 The Financial Services Institute plans on lobbying against recently re-introduced legislation in the Senate that threatens financial advisors' "independent contractor" worker classification.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor March 2009 Kara P. Stapleton	Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan.
Investment Advisor September 2009 James J. Green	Chosen: 2009 Broker/Dealers of the Year The firms given the highest ratings among their peers by their own reps in the 19th annual Broker/Dealer of the Year balloting.
Investment Advisor June 2009 James J. Green	Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Investment Advisor March 2009 James J. Green	News: A Sense of Resolve? Among RIAs and broker/dealers, the need to move ahead trumps market uncertainty.
Investment Advisor October 2010 Melanie Waddell	Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.
Investment Advisor October 2007 K. McBride & K. Stapleton	Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill.
Investment Advisor October 2010 Melanie Waddell	Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011
Investment Advisor March 2007 James J. Green	Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive.
Investment Advisor May 2009	Game Changer Barack Obama tops the 2009 IA 25 -- our seventh annual list of the most influential people in and around the advisory profession.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Investment Advisor June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
Financial Advisor May 2011 Andrew Gluck	Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
Investment Advisor September 2008 James J. Green	Culture Wars The editor of this publication makes a modest proposal for the future of the advisory industry.
Investment Advisor October 2006 Melanie Waddell	Taking It to The Hill The Financial Services Institute lobbies lawmakers and hears from regulators on their Public Policy Day in Washington.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
Investment Advisor September 2007 Kathleen M. McBride	Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.
Investment Advisor May 1, 2011	Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more
Investment Advisor October 2008 James J. Green	Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question.
Investment Advisor June 2010 Marlene Y. Satter	Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
Investment Advisor May 2009 Bob Clark	Clark at Large: Creationism Investors and other financial consumers would be best served by a Glass-Steagall clone, separating financial advice from any and all financial product manufacturing, marketing, or sales.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Investment Advisor April 2010 Melanie Waddell	Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup.
Investment Advisor May 2010 Melanie Waddell	30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors.
Registered Rep. September 9, 2011 Diana Britton	FSI: Calif. Sets Good Precedent With Independent Contractor Bill Considered a win for independent broker/dealers and their advisors, the California state Senate passed a bill Thursday night that tightens rules governing independent contractor status but omits onerous paperwork requirements.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
Investment Advisor May 2010	Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades.
Registered Rep. January 27, 2006 Halah Touryalai	Indie Broker Trade Group Sets 2006 Agenda at San Diego Conference At its second annual conference, the Financial Services Institute spinoff organization announced more plans to represent the special interests of indie b/ds with regulators, including the launch of FSI PAC, a Washington lobbying unit.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
Investment Advisor March 1, 2011 Kathleen Mcbride	SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
On Wall Street January 1, 2013 Elizabeth Wine	10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year.
Investment Advisor March 2006 James J. Green	Fast Start for the FSI In the two years since spinning off from the Financial Planning Association, the Financial Services Institute has made great strides within the industry, with regulators, vendors, and members of the public.
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.