Webinars With Industry Experts

Should FINRA Be The SRO For RIAs?


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.

 

Questions?

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