Investment Management

FSR advocates on behalf of members that provide investment products and services to individual and institutional investors, businesses, not-for-profit organizations, and governments (federal, state, and local); manage investments for themselves or their clients; provide financial, investment, or advisory services; and underwrite, deal-in, or make markets in capital markets financial instruments. 

Current Investment Management Priorities: 

  • Fiduciary Duties and Standards of Care
  • Systemic Risk Review of Asset Management
  • Retirement Planning and Saving
  • Regulating Municipal Securities Disclosures
  • Investment Funds Regulation
  • Retail Securities Issues
  • U.S. Securities Market Structure, Resiliency and Oversight
Letter re: Regulation Systems Compliance and Integrity, Exchange Act Release No. 69077 – 6/5/13

If adopted, Regulation Systems Compliance and Integrity would represent the Securities and Exchange Commission’s first foray into the direct regulation of technology and systems. It would impose obligations on specified entities and their personnel concerning particular systems utilized in the conduct of their business. Reg SCI would...

FINANCIAL SERVICES REPRESENTATIVES SAY BROAD, UNFOCUSED REGS ARE BIGGEST CONCERN

Tim Pawlenty, president and CEO of the Financial Services Roundtable, said a recent survey conducted by his group found respondents less worried about economic conditions as barriers to growth than the “cumulative effect of regulations. … We look at lack of clarity and certainty [with respect] to the timing, nature, and magnitude” of...

Letter re: Proposed Recommendations Regarding Money Market Mutual Fund Reform, 1/18/13

FSR and its members appreciate the work of the Financial Stability Oversight Council and share its goal of seeking to ensure that money market funds remain a convenient and cost-effective means of pooling investments in money market instruments. We respectfully submit that the Council’s Proposed Recommendations to reform MMFs are premature. ...