Beltway & Beyond

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

CEOs Address Importance Of Financial Services Advocacy

CEOs Of FSI, Lincoln And Docupace Address Long-Term Advocacy, Current Issues And Regulator Education At FSI’s Forum & Capitol Hill Day

By Julius Buchanan

/ 22 May 2025

CEOs Address Importance Of Financial Services Advocacy

FSI Forum: Washington Update, SEC Commissioner And FINRA CEO

FSI Event Addresses Next Gen, Congress, Tax Reforms, Regulatory Initiatives, Proposed Rules, AI, ‘Regulation By Enforcement’ And More

By Julius Buchanan

/ 21 May 2025

FSI Forum: Washington Update, SEC Commissioner And FINRA CEO

The CEO Who Fled Through The Bathroom Window And Other War Stories

The Second Installment Of Brian Hamburger’s ‘War Stories Of The Past 25 Years’ Reviews Compliance Innovation, The Evolution Of Compliance Priorities And Exams, And War Stories With Lessons Learned

By Julius Buchanan

/ 30 Apr 2025

Essential Edge And RegEd Partner On Outsourced Solution For Branch Exams

Firms Team Up To Offer End-To-End Solution, Combining Regtech With Professional Compliance Consulting

By Michael Madden

/ 21 Apr 2025

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