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
Obama Close to Imposing Hated Rule

President Obama is likely to see the implementation of a major new rule aimed at protecting retirement savings before he leaves office, despite opposition from the financial industry and several Republicans and Democrats.

The Markets, DoL, Trump and What we can Learn from the UK

The market turmoil of the past few days has put many investors on edge about the state of the world’s financial markets. Many mom and pop investors may not be as tuned into the political dynamics shaping China’s recent decision to devalue its currency, a decision that has led to a worldwide market reaction. If When watching the news, the stark...

Overnight Finance: Tough start for highway deal; Dodd-Frank at five – The Hill

FIDUCIARY FIGHT - - BIZ COMMUNITY PROPOSES NEW PLAN. Former Republican presidential candidate Tim Pawlenty is touting a new plan that he says will better protect consumers that would be at risk from the Department of Labor's proposed fiduciary requirements for financial advisers.

DoL Fiduciary Proposal Will Limit Needed Retirement Planning

A new rule proposed by the Department of Labor (DoL) will hinder retirement planning for low and middle income savers by creating red tape and conflicts with other regulations, according to the Financial Services Roundtable (FSR).

Going Beyond the Sound Bite – Fiduciary is Complicated, so How Do You Keep it Simple?

For years, efforts have been afoot to redefine what it means to be a fiduciary when providing financial advice to clients. The question is straightforward, “Should your financial professional act in your best interest?” The answer is, “Yes. Of course, they should.” Anyone worth their salt in the financial services industry has to do...