Investment Management

FSR advocates on behalf of members that provide investment products and services to individual and institutional investors, businesses, not-for-profit organizations, and governments (federal, state, and local); manage investments for themselves or their clients; provide financial, investment, or advisory services; and underwrite, deal-in, or make markets in capital markets financial instruments. 

Current Investment Management Priorities: 

  • Fiduciary Duties and Standards of Care
  • Systemic Risk Review of Asset Management
  • Retirement Planning and Saving
  • Regulating Municipal Securities Disclosures
  • Investment Funds Regulation
  • Retail Securities Issues
  • U.S. Securities Market Structure, Resiliency and Oversight

Media Advisory: Financial Services Roundtable and United Technologies to Host Event on ‘Better Serving Your Employees, New Ideas for Enhancing Employees’ Retirement Security’ in Hartford

June 16, 2016

On Friday, June 17, the Financial Services Roundtable (FSR) and United Technologies (UTC) will host an event at The Society Room in Hartford, Connecticut, featuring leading employers and experts discussing how to help workers achieve financial success in retirement, while recognizing Hartford-area employers who are already doing it right.



The Rules of the Road for Retirement are Changing, but for the Better?

April 19, 2016

This month the U.S. Department of Labor released its controversial “fiduciary rule” which impacts the sale of retirement income products, such as an Individual Retirement Account (IRA), and is intended to ensure the product purchased is in the customer’s best interest. The rule is 1,023 pages and will dramatically reshape the delivery of retirement account advice and services in short order.


London Calling

March 24, 2016

“Wonky Talk” is FSR’s new blog series that boils down political and regulatory issues from Washington into plain English for the average American.

The SEC is Set to Take on March’s Madness

March 4, 2016

March is here and it’s already shaping up to be a maddening month. This year’s unpredictable Presidential election continues to dominate the news and social media; and love or hate him, Donald Drumpf certainly has a lot of people talking about the Presidential race like never before.