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Registered Rep.
February 13, 2009
Halah Touryalai |
Independent Contractor Rep No More? If the Obama administration and House Representative Rob Andrews of New Jersey have their way, the independent contractor rep may become a thing of the past.   |
Registered Rep.
September 9, 2011
Diana Britton |
FSI: Calif. Sets Good Precedent With Independent Contractor Bill Considered a win for independent broker/dealers and their advisors, the California state Senate passed a bill Thursday night that tightens rules governing independent contractor status but omits onerous paperwork requirements. |
Registered Rep.
August 16, 2011
Diana Britton |
FSI Goes "Neutral" on California Independent Contractor Bill The independent broker/dealer industry successfully lobbied to amend a bill recently introduced in California that would prohibit the "willful" misclassification of independent contractors who fit the definition of an employee. |
Investment Advisor
February 2010
Marlene Y. Satter |
Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Investment Advisor
March 2010
James J. Green |
Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status. |
Entrepreneur
February 2005
Joan Szabo |
Here Comes Trouble The IRS scrutinizes the returns of entrepreneurs who may misclassify workers as independent contractors instead of employees. Here's how to avoid independent-contractor snags. |
The Motley Fool
September 14, 2006
Dan Caplinger |
The Definition of Independence For a small-business owner, hiring an employee is a big step. Ignoring the rules classifying employees can be a costly tax mistake for your business. |
Investment Advisor
October 2006
Melanie Waddell |
Taking It to The Hill The Financial Services Institute lobbies lawmakers and hears from regulators on their Public Policy Day in Washington. |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Investment Advisor
March 2009
James J. Green |
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. |
CFO
December 1, 2011
David M. Katz |
A Loss of Independents? Regulators have rewritten the rules regarding the use of independent contractors, forcing companies to make hard choices - and possibly pay heavy fines. |
Registered Rep.
March 2, 2010
John Aidan Byrne |
New Rules For 401k Advice The White House has proposed rules that require advisors to either use independent computer models that spit out advice, or else avoid steering workers into funds to which they are tied or that pay them a fee based on their recommendation. |
Entrepreneur
April 2007
Joshua Kurlantzick |
In With the New The shift in congressional leadership could prove a boon for small business. What might the new Congress do for you? |
Investment Advisor
August 2009
Melanie Waddell |
Healthcare Reform Steamroller Advances House and Senate committees offer health reform bills. Both the House and Senate legislation would likely raise taxes for many. |
Registered Rep.
October 6, 2009
Kristen French |
FSI Urges Alternatives To Proposed Investor Protection Act The Financial Services Institute recommends closing regulatory gaps between the two sides of the industry, and suggested that an industry-run, rather than a government-run, regulator would be best for the job. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more. |
Registered Rep.
September 8, 2011
French & Britton |
House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers. |
Investment Advisor
June 2010
Melanie Waddell |
Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants? |
Entrepreneur
June 2003
Nichole L. Torres |
It's Classified Are your hired help really contractors rather than employees? If you don't get it right, you could face steep penalties. |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
InternetNews
November 20, 2009 |
Tech's H-1B Hiring Faces 'Employ America Act' Bipartisan legislation is designed to limit foreign labor via temporary guest worker programs. |
National Defense
February 2008
Joseph J. Summerill |
Congress to Enact New Accountability in Contracting Congressional interest in oversight of government contracting began early last year with separate bills during the first three months of the 110th Congress in both the House and Senate that provided for contractor oversight and limited the number of sole source contracts. |
Investment Advisor
September 2009
Melanie Waddell |
Danger & Opportunity: Stitching Together Healthcare Reform The healthcare debate moved outside the beltway in August, as members of Congress headed back home to face constituents bent on voicing their opinions on healthcare reform during townhall meetings. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
Registered Rep.
May 4, 2009
David A. Geracioti |
Brokers To The Ramparts! Unionize! Unions have not had such a sympathetic occupant in the White House, since, well, arguably FDR. |
Inc.
September 2008
Minda Zetlin |
Employee or Contractor? The wrong answer could cost you. |
National Real Estate Investor
April 1, 2006
Elizabeth Feigin Befus |
Immigration Reform Is A Delicate Issue Immigration laws targeting employers should protect our borders without forcing businesses to comply with costly, onerous requirements when less burdensome options are available. At a minimum, employers should not be forced to participate in a flawed employment verification system. |
Entrepreneur
September 2006
Jennifer Pellet |
Privacy, Please Potential changes in IRS rules could leave you exposed. |
Registered Rep.
November 1, 2005
Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs. |
Investment Advisor
January 1, 2011
Melanie Waddell |
New Year Will Likely Include New Tax Scheme Odds favor both House and Senate passage of bipartisan tax package. |
Investment Advisor
November 2009
Melanie Waddell |
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition. |
InternetNews
November 17, 2004
Roy Mark |
Senate Brokers Internet Access Tax Deal Senate negotiators said late Wednesday afternoon that they had cleared the way for Congress to approve a new Internet access tax moratorium that will ban tariffs on most dial-up and broadband connections for the next four years. |
Registered Rep.
April 27, 2010
Kristen French |
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
BusinessWeek
November 5, 2009
Michael Orey |
FedEx: They're Employees. No, They're Not The feud over FedEx's "contractors" hints at battles to come involving the classification of workers. |
InternetNews
February 1, 2007
Roy Mark |
House Bill Would Ban Connection Taxes Legislation calls for permanent bar on Internet access taxes. |
Investment Advisor
July 2009
Melanie Waddell |
Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care. |
InternetNews
January 19, 2007
Roy Mark |
Senate: Write Away, Bloggers Republicans force changes in language calling for greater reporting requirements for grassroots groups and political bloggers. |
AFP eWire
September 19, 2005 |
House and Senate Introduce Hurricane Katrina Tax Relief Legislation Congress has introduced Hurricane Katrina tax relief packages that include direct grants to help those affected by the tragedy, as well as tax incentives to encourage charitable giving. |
Commercial Investment Real Estate
Jan/Feb 2015
Lydia Snowden |
2015 Legislative Outlook Will 1031 exchanges survive tax reform? |
Investment Advisor
May 2009 |
Game Changer Barack Obama tops the 2009 IA 25 -- our seventh annual list of the most influential people in and around the advisory profession. |
Registered Rep.
January 27, 2006
Halah Touryalai |
Indie Broker Trade Group Sets 2006 Agenda at San Diego Conference At its second annual conference, the Financial Services Institute spinoff organization announced more plans to represent the special interests of indie b/ds with regulators, including the launch of FSI PAC, a Washington lobbying unit. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors. |
AFP eWire
July 3, 2006 |
Charitable Reforms Tacked on to Telephone Excise Tax Repeal Act The Senate Finance Committee has added numerous charitable reform provisions, including new disclosure requirements to S. 1321. |
InternetNews
October 16, 2007 |
Net Groups Cheer Reps' Move on Taxes Technology industry groups and lobby outfits heaped praise on the U.S. House of Representatives today after it overwhelmingly passed a bill that extends the moratorium on Internet taxes for another four years. |
InternetNews
November 19, 2004
Roy Mark |
House Approves Internet Access Tax Ban President Bush promised to sign four-year prohibition on connection taxes. |
Geotimes
May 2003
David Applegate |
Another Stab at Energy Legislation With Republicans now in control of both chambers, energy legislation is a top priority of the House and Senate leadership. |
