Should FINRA Be The SRO For RIAs?

Should FINRA Be The SRO For RIAs?
Dale E. Brown
07/22/11 4 PM EST
IWI
Program Id: 598428808
1.8
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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?

 

Financial Services Institute, a trade group representing 125 independent B/Ds and 16,000 registered reps, weighs in on regulatory issues confronting advisors.

 

At this webinar, you will learn: 

 

  • • 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.
  
This webinar is approved for IMCA® CE credit.

 


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(Updated: July 21, 2011)
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Welldone and well delivered.

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(Updated: July 21, 2011)
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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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(Updated: July 21, 2011)
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Excellent information and good insight.

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(Updated: July 21, 2011)
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good info

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(Updated: July 21, 2011)
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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.

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