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
Will 2016 Be a Waste for Washington? Far From It.

People in Washington are already suggesting that 2016 will be a “lost” year, marked by early political conventions, long Congressional recesses, a gridlocked Congress, and little achieved. Nothing could be further from the truth. In fact, 2016 is shaping up to be a very consequential year. We will elect a new President, and while control...

Wonky Talkin’: A Whole Lotta Nothing for Washington in 2016?

“Wonky Talk” is FSR’s new blog series that boils down political and regulatory issues from Washington into plain English for the average American. This week, VP of Government Affairs for Investment Management Jill Hoffman explains why Congress appears dysfunctional and breaks down a damaging regulation that could impact Americans’ ability...

The U.S. Department of Labor’s Misguided ‘Fiduciary’ Rule

By Mark Swartz, who offers securities through AXA Advisors, LLC and investment advisory products and services through AXA Advisors, LLC, an investment advisor registered with the SEC. // Both Democratic and Republican legislators have expressed concerns about proposed regulations from the Obama administration that will change the way Americans...

DoL Fiduciary Proposal Will Harm Middle and Low Income Americans & Small Businesses

FSR submitted a statement for the record today highlighting the financial services industry’s concerns with the Department of Labor’s proposed fiduciary rule, which will restrict low and middle class Americans’ access to financial advice and retirement planning education.

Media Advisory: FSR’s #FeeltheEarn ‘Making Retirement Great Again’ Features Importance of Hill Staffers, Americans Saving for Retirement

On Tuesday November 17, the Financial Services Roundtable (FSR) and its Save 10 Initiative are hosting a retirement event exploring how millennials define, think about and prepare for retirement. FSR will host a conversation featuring the experiences of real millennials and examine how Capitol Hill staffers and other young adults can begin...