Should FINRA Be The SRO For RIAs?
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Do consumers lack confidence in investment advisors because regulatory compliance is based on an advisor’s business model rather than on the services provided to clients? Does the double standard undermine consumer confidence? What’s the solution?
- • How Dodd-Frank led to the push for a uniform fiduciary standard
- • Why FINRA should be the self-regulatory organization (SRO) for retail advisors
- • How a unified regulatory environment would grow business for advisors
- • The politics behind the proposal
Guest speakers:
Dale E. Brown is the President and CEO of the Financial Services Institute, an advocacy organization for independent broker-dealers and independent financial advisors. He led the Government Relations Program for the IAFP, one of FPA’s predecessor organizations.
David T. Bellaire, Esq. is the General Counsel & Director of Government Affairs of FSI. David has more than 18 years of broker-dealer compliance, legal, and operations experience.
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Welldone and well delivered.
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I was pleased with the topic and the speakers. I felt the FSI input is appropriate and meaningful. I am an LPL Financial rep and operate primarily as a fee-based practice using LPL's advisory. I am a strong supporter of FSI and wish all reps would join and support our industry in Washington.
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Excellent information and good insight.
Webinar Attendee
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good info
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FSI's views on the SRO issue are well-known. Presenters did a good job of summarizing their case. Good to hear their prediction of the timeline this action is on.
