Beltway & Beyond

KEEPING YOU UP TO SPEED ON REGULATORY, LEGISLATIVE, COMPLIANCE AND LEGAL AFFAIRS

Keeping wealth management firms and other industry participants aware of regulatory, legislative, compliance and legal trends – And how to stay ahead of the curve.

FSI’s Advocacy Priorities For 2025

The Financial Services Institute’s Priorities Span A Broad Range Of Priorities For Independent Advisors, The Industry And Main Street Clients

By WSR Newsroom

/ 10 Mar 2025

Dale Brown, President & CEO, Financial Services Institute

Hamburger’s War Stories Of The Past Quarter Century: Beginning The Journey

2025 Marks The 25th Anniversary of Brian Hamburger’s Law And Consulting Firms. This Series, ‘War Stories Of The Past 25 Years,’ Brings You Insights From His Experiences. This First Installment Is: ‘SEC: The Beginning Of The Journey.’

By Julius Buchanan

/ 25 Feb 2025

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

Technology Will Dominate The Compliance Landscape This Year

Experts From Orion, CogniCor And Surge Ventures Share Predictions On Regulatory Focus, Regtech And AI Use In Compliance And Regulation For 2025, Plus Predictions For The SEC Under Atkins

By Julius Buchanan

/ 19 Feb 2025

Technology Will Dominate The Compliance Landscape This Year

Why It’s Time To Revisit Your Investment Policy Statement

Diligent Management And Regular Review Of The IPS Are Essential

By WSR Newsroom

/ 6 Feb 2025

Kevin Freehardt, Chief Investment Officer, American Trust; and Justin Morgan, Director – Fiduciary Consulting & Advisor Solutions, American Trust Wealth

FSI OneVoice: Advisor Retirement And Adopting AI

Panels Addressing The Practical Implementation Of AI In Wealth Management And How Advisors Move Beyond Retirement Among Many At Annual Conference

By Julius Buchanan

/ 30 Jan 2025

Larry Roth, CEO of Wealth Solutions Report and Managing Partner of RLR Strategic Partners / EPNAC.com

FSI OneVoice: 2025 Advocacy Initiatives And Embracing Change

FSI Key Initiatives For 2025 Include Regulatory Modernization, Tax Treatment, Regulation By Enforcement, Standard Of Care, Investor Education And Protection, And Independent Contractor Status. First Keynote Addresses Finding Certainty Amid ‘Flux’

By Julius Buchanan

/ 29 Jan 2025

Tim Stinson, Chair, FSI Board of Directors, President, Cetera Advisor Networks / EPNAC.com

Stay Focused: Dangers To Our Industry Remain After Elections

Advocacy Must Continue As The Political And Regulatory Landscape Shifts

By WSR Newsroom

/ 30 Dec 2024

What To Do With Your Restrictive Covenants Now

Firms And Advisors Fight To Stay Ahead Of Legislators, Regulators And Judges On Non-Competition, Non-Solicitation And Similar Contract Provisions

By WSR Newsroom

/ 23 Oct 2024

It’s Fundamental: Assuaging Client’s Presidential Election Concerns

Advisors Should Guide Clients To Look Past Politics To Focus On History, Policy And Fundamentals

By WSR Newsroom

/ 24 Sep 2024

JJ Feldman, Partner & Co-Head of Wealth Management, Helium Advisors

Collaborative Engagement: Lawmakers Will Listen

Despite The Rhetoric, Many Lawmakers Desire Collaborative, Solutions-Oriented Approaches

By WSR Newsroom

/ 6 Sep 2024

Defending Independence: Challenging DOL’s Newest Regulations

Why The DOL’s Independent Contractor And Fiduciary Rules Don’t Work And How To Get Involved, Including My Video Discussion With WSR CEO Larry Roth

By WSR Newsroom

/ 8 Aug 2024

Legal Blind Spots In Business Transactions

RIA Business Owners Are Often Unaware Or Have Misconceptions About Asset Valuations, Minority Investments And Restrictive Covenants

By WSR Newsroom

/ 22 May 2024

Brian Hamburger, Founder, President & CEO, MarketCounsel Consulting, and Founder & Chief Counsel, the Hamburger Law Firm

Beltway & Beyond

FSI’s Advocacy Priorities For 2025

Hamburger’s War Stories Of The Past Quarter Century: Beginning The Journey

Technology Will Dominate The Compliance Landscape This Year

Why It’s Time To Revisit Your Investment Policy Statement

FSI OneVoice: Advisor Retirement And Adopting AI

FSI OneVoice: 2025 Advocacy Initiatives And Embracing Change

Stay Focused: Dangers To Our Industry Remain After Elections

What To Do With Your Restrictive Covenants Now

It’s Fundamental: Assuaging Client’s Presidential Election Concerns

Collaborative Engagement: Lawmakers Will Listen

Defending Independence: Challenging DOL’s Newest Regulations

Legal Blind Spots In Business Transactions

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