Financial Services Institute

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  Hidden Hand: Marv Tuttle’s Low-Key Guidance Will Be Felt for Years

  By Bob Clark, AdvisorOne  |  October 2, 2012

  Naming Marv Tuttle as CEO of FPA was the smartest thing any financial planning association has done in the 30 years I've been covering the profession.

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  Yes We Will!: FSI’s Growth and Advocacy Success

  By Dale Brown, Financial Services Institute  |  September 26, 2012

  In an open letter to FSI members from Dale Brown, how the Financial Services Institute has made progress in 2012, and will see more success in 2013, with its members’ continued engagement.

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  Court Rules Brokers Are Independent Contractors, Not Employees

  By Gil Weinreich, AdvisorOne  |  August 23, 2012

  The victory for Waddell & Reed has potentially far-reaching consequences for BDs because the brokers filing suit alleged that some SEC and FINRA regulations indicated the sort of control found in an employee relationship.

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  Retirement Planning Groups to SEC: Stop Messing With Money-Market Funds

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  In a joint letter to the SEC Tuesday, the ICI, FSI and others said the proposed changes would render the funds "far less desirable—if not unusable—for retirement savers."

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  To Serve and Protect: The 2012 Broker-Dealers of the Year

  By John Sullivan, AdvisorOne, James J. Green, AdvisorOne  |  August 21, 2012

  The winners of Investment Advisor's 22nd annual Broker-Dealers of the Year balloting share the best practices that got them to the top in their representatives' voting.

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  FSI Advisors Weigh In on Presidential Race, Economy & More

  By Dale Brown, Financial Services Institute  |  August 15, 2012

  Financial advisors in an FSI member poll show a decided preference for Romney, predict a flat economy and suggest a continued move toward fees.

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  Romney or Obama? LPL and FSI Polls Disagree

  By Joyce Hanson, AdvisorOne  |  August 14, 2012

  As the presidential race heats up with Mitt Romney’s choice of Paul Ryan as his running mate, polls from FSI and LPL have reached vastly different conclusions about who will win.

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  LPL Grabs Russo’s Advantage Financial, $2 Billion in Assets From NPC

  By Joyce Hanson, AdvisorOne  |  August 2, 2012

  Russo described the move of 63 advisors to LPL from NPC as a process that Advantage Financial undertook as it created a philosophy reflecting “the strong currents that are sweeping through the industry.”

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  FSI Adds 2,500 Advisor Members

  By Melanie Waddell, AdvisorOne  |  August 1, 2012

  FSI announced Tuesday that NEXT Financial Group, Transamerica Financial Advisors. and The Strategic Financial Alliance have joined as members, collectively adding 2,500 new independent advisor members to FSI.

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  FINRA Fee Increases May Raise Sticker Price on Financial Advice

  By William H. Byrnes, Esq., Robert Bloink, Esq., LL.M.  |  August 1, 2012

  FINRA’s proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.