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Investment Advisor
June 2008 |
Changes People: Jeff Montgomery joins Al Frank Asset Management as CEO... Joby Gruber resigns FSC Securities and Advantage Capital and Larry Roth takes over his positions... Jeff Auld has resigned Berthel Fisher & Co... Gary Diffendaffer... Angela Biever...   |
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
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 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
March 2010
James J. Green |
Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status. |
Investment Advisor
May 2010
James J. Green |
Catching Up With... Jeff Montgomery shares his thoughts on what advisors are looking for these days from their asset managers. |
Investment Advisor
May 2009
James J. Green |
Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management. |
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
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. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Investment Advisor
November 2009
Bob Clark |
Clark at Large: The Times They Are a Changin' A new risk consciousness among advisors and clients may be the silver lining to the market meltdown. |
Investment Advisor
April 2008
Kathleen M. McBride |
SEC: "We hear you" The Securities and Exchange Commission has proposed an amendment that may make taking customers to a new firm easier on reps and B/D executives. |
Registered Rep.
December 10, 2003
David A. Gaffen |
Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit. |
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." |
Registered Rep.
September 8, 2011
French & Britton |
House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers. |
Investment Advisor
November 2009 |
GroupThink Association news: A new universal standard of care to broker/dealers is urged... The Financial Planning Association and Janus Capital Group Inc. announced the winners of the 2009 Financial Frontiers Awards... |
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. |
Real Estate Portfolio
Nov/Dec 2004
Christopher M. Wright |
Q&A with Roger Gibson Roger Gibson is a nationally recognized expert in asset allocation and portfolio design. In a recent interview he discusses among other things, diversification and where REITs fit into his clients' portfolios. |
Investment Advisor
December 2009
Melanie Waddell |
Danger & Opportunity: Staggering Toward Reform Investor Protection Act passes with lots of fiduciary-related amendments; action on Dodd not likely until 2010. |
Investment Advisor
February 2009
Kara P. Stapleton |
Group Think The Certified Financial Planner Board of Standards releases proposed revisions to its Disciplinary Rules and Procedures... Financial Services Institute's Board elects Eric Schwartz chair... FPA Board of Directors approved creation of Diversity Scholarship Program for FPA conferences... |
Investment Advisor
November 2009
Melanie Waddell |
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition. |
Investment Advisor
March 2007 |
March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc. |
Investment Advisor
March 2009
Melanie Waddell |
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. |
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
April 2009 |
B/D Briefing: News & Products The latest from the broker/dealer world. |
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. |
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. |
On Wall Street
September 1, 2009
James MacPherson |
Investing for the Future If classic asset allocation did not prevent most portfolios from losing value, what might investors and advisors do to protect their portfolios, now and in the future? |
Investment Advisor
January 2007 |
Briefs The Certified Financial Planner Board of Standards announced that applications for its 2007 Financial Planning Grants program will be accepted...The Securities Industry and Financial Markets Association released the results of its 10th annual Review of Electronic Transaction Systems... etc. |
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 |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Investment Advisor
June 2008
Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry. |
Investment Advisor
February 2008 |
B/D News & Products The Financial Services Institute announce that its board of directors elected Brian Murphy, chairman of Woodbury Financial Services, as chair for 2008... There's a new rate for fees paid under Section 31 of the Exchange Act... etc. |
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
September 2009
James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. |
Registered Rep.
August 16, 2011
Diana Britton |
FSI Goes "Neutral" on California Independent Contractor Bill The independent broker/dealer industry successfully lobbied to amend a bill recently introduced in California that would prohibit the "willful" misclassification of independent contractors who fit the definition of an employee. |
InternetNews
May 17, 2004 |
Securities Industry IT Spend to Hit $71.5 Billion While double digit increases are long gone, the Tower Group finds North American securities industry IT spending on the rise. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
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. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Registered Rep.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
Registered Rep.
November 1, 2005
Christopher O'Leary |
A Crusade Against Indies? Regardless of whether going independent means a more regulatory scrutiny or not, advisors thinking of going out on their own need to understand just how much work such a move will entail in terms of keeping up with the ever-changing world of regulations. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
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
March 2008 |
Group Think Group news: Financial Services Institute... National Association of Women Business Owners...MetLife... Securities and Exchange Commission... National Endowment for Financial Education... |
Wall Street & Technology
November 17, 2003
Anthony Guerra |
Buy-Side Bashing in Singapore Forgetting that the customer is always right, broker/dealers and custodians made asset managers the pinatas at Swift's annual Sibos conference. |
The Motley Fool
November 17, 2006
Dan Caplinger |
How Much Risk Is Enough? Here's an asset allocation strategy that pays attention to what you really need. |
Investment Advisor
December 2008
James J. Green |
The Failure of Asset Allocation Asset allocation can explain past market performance, but not predict which allocation will work in the future. |
