Most Clicked FSI NewsBrief Stories


1. Getting a career off to a good start

FSI NewsBrief | May 27, 2015

When advisors start their careers, many run into unexpected challenges, prompting some to exit the industry quickly. New advisors discuss surprises they have faced, errors made and lessons learned. The Wall Street Journal (tiered subscription model) (05/26)


2. Case study: Curing a doctor's ailing estate plan

FSI NewsBrief | May 28, 2015

Advisor Justin Hales was fairly impressed with his new client's retirement steps, but then he convened the doctor's attorney, insurance agent and accountant for a closer look. They discovered a huge problem: He left his practice to his wife -- who wasn't a licensed practitioner. The Wall Street Journal (tiered subscription model) (05/27)


3. Advisors gradually shift toward passive management

FSI NewsBrief | Jun 01, 2015

The majority of financial advisors continues to favor actively managed investments, though a trend toward passive management is growing, according to Practical Perspectives. ThinkAdvisor (05/29)


4. Debate: Just how expensive are equities now?

FSI NewsBrief | May 26, 2015

Brad Zigler takes a look at various measures of stock market valuations, concluding that the market may not be as overpriced as some think. While equities "aren't the screaming bargains they once were, the odds still favor more upside than downside," he writes. WealthManagement.com (U.S.) (05/22)


5. FSI applauds FINRA's move on BrokerCheck

FSI NewsBrief | May 29, 2015

The Financial Industry Regulatory Authority has submitted to the Securities and Exchange Commission a requirement that brokerages' websites link to FINRA's BrokerCheck database. The proposal does not cover social media. "The rule, as revised, addresses the concerns with the original proposal without impacting the investor-protection benefits of the proposed rule," said Robin Traxler, vice president for regulatory affairs at FSI. InvestmentNews (free registration) (05/28)


6. Ready to embrace automated services?

FSI NewsBrief | May 29, 2015

An expected surge in retirement of financial advisors will prod more professionals to embrace automated services, "whether they like it or not," according to a report by Celent. Such services provide compelling benefits for advisors, the report says. ThinkAdvisor (05/27)


7. FINRA seeks comment on revised broker-compensation rule

FSI NewsBrief | May 28, 2015

The Financial Industry Regulatory Authority wants public comment on a rewritten broker-compensation proposal. The rule would require brokerages to provide "educational communication" that suggests questions clients should ask brokers about compensation. FINRA first proposed the requirement in March 2014, then withdrew it. FSI call the proposal "vague" and "highly burdensome." InvestmentNews (free registration) (05/27)


8. Commentary: Client newsletters aren't outdated

FSI NewsBrief | Jun 01, 2015

Newsletters to clients are a time-honored marketing technique. They are still valuable, says Sheryl Rowling, CEO of Total Rebalance Expert. "Any time you communicate with a client, it is an extra touch, a way to continue to cement your relationship," Rowling writes. InvestmentNews (free registration) (05/28)


9. FINRA sees 30% increase in violation cases

FSI NewsBrief | Jun 01, 2015

Violation cases have climbed 30% this year, according to the Financial Industry Regulatory Authority. Enforcement Vice President Brad Bennett says reasons are unclear. Chief Legal Officer Bob Colby says FINRA would welcome the opportunity to oversee advisors but is not pushing the Securities and Exchange Commission on the matter. Financial Advisor online (05/29)


10. Opportunity emerges for advisors via IRS requirement

FSI NewsBrief | May 26, 2015

The IRS requires employers that sponsor defined-contribution plans to restate documents by April 30. That creates an opportunity for advisors to connect with employers to study plan effectiveness. InvestmentNews (free registration) (05/22)




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