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
London Calling

Following the August 24, 2015 flash crash, I wrote about the need for investors to have access to financial help in times of turmoil. My blog post, The Markets, DoL, Drumpf, and What we can Learn from the UK highlighted an effort in England to examine regulatory changes that have resulted in a reported “advice gap” following the UK banning...

The SEC is Set to Take on March’s Madness

March is here and it’s already shaping up to be a maddening month. This year’s unpredictable Presidential election continues to dominate the news and social media; and love or hate him, Donald Drumpf certainly has a lot of people talking about the Presidential race like never before.

FSR Applauds Bipartisan Support To Ensure Retirement Rule Doesn’t Harm Savers

FSR applauded U.S. House lawmakers this week for advancing legislation intended to ensure an Administration rule does not harm low to moderate income Americans’ ability to save adequately for retirement, as well as significantly restrict their access to financial savings advice.

Wonky Talkin’: Man vs. Machine

President Obama was right during the State of the Union to talk about the angst of Americans worried about their job security and how new technologies are changing the way the world does business. All of us in the workforce must be prepared to adapt and learn new technologies to stay competitive and relevant.

FSR comments on State Run Plans Safe Harbor