Beltway & Beyond

Tracking Advice Industry Regulatory Change At The DOL And SEC

Sid Yenamandra Of SurgeONE.ai, Kaitlyn Wulfken Of Compliance Risk Concepts And Todd Spillane Of Essential Edge Share Insights On How DOL Secretary Lori Chavez-DeRemer And SEC Chairman Paul S. Atkins Could Overhaul Rules For The Wealth Management Industry.

By Chris Latham

/ 12 Nov 2025

Tracking Advice Industry Regulatory Change At The DOL And SEC

Regtech Surge: Red Flags When Considering Compliance Vendors

Red Flags Include Disjointed Systems, Unstable Staff, Vendor Sprawl, Difficulty Pulling Reports And Vendor Lock-In

By WSR Newsroom

/ 11 Nov 2025

Regtech Surge: Red Flags When Considering Compliance Vendors

FSI Names Andrew Hartnett VP Of Regulatory Affairs And Deputy General Counsel

Organization Also Promotes Three Within Its Advocacy Team

By James Miller

/ 31 Oct 2025

FSI Names Andrew Hartnett VP Of Regulatory Affairs And Deputy General Counsel

Congress Should Pass The Modern Worker Empowerment Act To Protect Independent Advisors

A Single Federal Standard Will Bring Clarity And Stability That Preserves Independence For Advisors

By WSR Newsroom

/ 30 Oct 2025

Regtech Surge: Mid-Sized RIAs Need To Fill Costly Compliance Gaps

The 3 Most Costly Compliance Gaps Facing Mid-Sized RIAs

By WSR Newsroom

/ 24 Sep 2025

Sid Yenamandra, Founder & CEO, SurgeONE.ai

Should Wealth Management Firms Build out Internal Compliance Staff or Bring on Outsourced Compliance Services?

Calculating the Relative Costs and Merits

By WSR Newsroom

/ 9 Sep 2025

Sander Ressler, Co-Owner & Managing Director, Essential Edge Compliance Outsourcing Services

New Jersey Threatens Advisors’ Businesses And Clients’ Access To Advice

The State’s Independent Contractor Proposal Threatens Independent Financial Advisors And Their Services To Clients

By WSR Newsroom

/ 25 Aug 2025

Dale Brown, President & CEO, Financial Services Institute

Study Shows 65% Of Advisors Consider Leaving Jersey If Rules Change

FSI And Oxford Economics Released A Study Showing Negative Effects Of Proposed Independent Contractor Rule In New Jersey

By Michael Madden

/ 13 Aug 2025

Wealth.com: Breaking Down The Big Beautiful Bill: Tax Insights And Advisor Takeaways

The One Big Beautiful Bill Act Requires Advisor Attention And Presents Opportunities For Client Service

By WSR Newsroom

/ 16 Jul 2025

Dave Haughton, Senior Corporate Counsel, Wealth.com

Litigation: Lessons From The Trenches

This Installment Of Brian Hamburger’s ‘War Stories Of The Past 25 Years’ Reviews The Changing Nature Of Legal Disputes And Advisors’ Blind Spots

By Jeff Berman

/ 8 Jul 2025

Brian Hamburger, Founder, President & CEO, MarketCounsel, and Founder & Chief Counsel, HamburgerLaw

FSI Launches FinancialCareers.org To Attract Prospective Advisors

The Website Targets Next Gen And Career Changers, Features Career Resources And Job Listings In The Independent Financial Services Sector.

By Jeff Berman

/ 28 May 2025

Why Quantitative Oversight Is Now A Fiduciary Imperative

Quantitative Frameworks Can Build Client Trust And Establish An Audit Trail For Regulators

By WSR Newsroom

/ 27 May 2025

Chris Shuba, Founder & CEO, Helios Quantitative Research

Tracking Advice Industry Regulatory Change At The DOL And SEC

Regtech Surge: Red Flags When Considering Compliance Vendors

FSI Names Andrew Hartnett VP Of Regulatory Affairs And Deputy General Counsel

Congress Should Pass The Modern Worker Empowerment Act To Protect Independent Advisors

Regtech Surge: Mid-Sized RIAs Need To Fill Costly Compliance Gaps

Should Wealth Management Firms Build out Internal Compliance Staff or Bring on Outsourced Compliance Services?

New Jersey Threatens Advisors’ Businesses And Clients’ Access To Advice

Study Shows 65% Of Advisors Consider Leaving Jersey If Rules Change

Wealth.com: Breaking Down The Big Beautiful Bill: Tax Insights And Advisor Takeaways

Litigation: Lessons From The Trenches

FSI Launches FinancialCareers.org To Attract Prospective Advisors

Why Quantitative Oversight Is Now A Fiduciary Imperative

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