Financial Services Institute

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  State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  New Hire Roundup: National Advisors Trust Names New CEO

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2013

  This week in new hires, James Combs was named CEO of National Advisors Trust Co., and FSI elected two new board members.

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  FSI Names Derek Bruton, Seth Miller to Its Board

  By James J. Green, AdvisorOne  |  March 28, 2013

  The independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.

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  FSI Adds 700 Advisors to Its Membership Rolls

  By James J. Green, AdvisorOne  |  March 15, 2013

  Berthel Fisher and WRP Investments will pay their reps’ membership dues for a year as FSI membership continues to grow.

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  FINRA Goes for Round Two on Membership Rule Changes

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.

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  A Battle Won Over Independent Contractor Status, but War Persists

  By Dale Brown, Financial Services Institute  |  February 19, 2013

  In the continuing struggle to retain independent contractor status for IBD advisors on both the state and federal level, broker-dealers have a key ally in FSI. The Waddell & Reed lawsuit is a case in point.

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  Record Attendance, Upbeat Mood at FSI Conference

  By John Sullivan, AdvisorOne  |  January 29, 2013

  The new year finds the Financial Services Institute optimistic and on a roll.

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  FSI’s FA Membership Growth Strategy Appears to Be Working

  By James J. Green, AdvisorOne  |  January 29, 2013

  Subsidizing individual FA membership gets advisors in the door, and advocacy success keeps them, says FSI leadership.

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  Three Steps Advisors Can Take for ERISA Compliance: Matrix Financial

  By Melanie Waddell, AdvisorOne  |  January 29, 2013

  Matrix, a Broadridge Financial Solutions company, released a practice guide at the FSI conference outlining a three-step action plan advisors can take to ensure they’re complying with fiduciary standards under ERISA.

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  FSI Kicks Off Conference With Standing-Room-Only Crowd

  By James J. Green, AdvisorOne  |  January 29, 2013

  With registrants at 753 and with advocacy wins under its belt, the independent broker-dealer group calls for more membership and announces an advisor conference.