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

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.


Wonky Talkin’: Man vs. Machine

January 21, 2016

President Obama was right during the State of the Union to talk about the angst of Americans worried about their job security and how new technologies are changing the way the world does business. All of us in the workforce must be prepared to adapt and learn new technologies to stay competitive and relevant.


Will 2016 Be a Waste for Washington? Far From It.

January 13, 2016

People in Washington are already suggesting that 2016 will be a “lost” year, marked by early political conventions, long Congressional recesses, a gridlocked Congress, and little achieved.

Nothing could be further from the truth. In fact, 2016 is shaping up to be a very consequential year.

We will elect a new President, and while control of the Senate is up in the air, the House is likely to stay Republican. The new President and Congress will likely have “100 Day” agendas, passing bills that will be the basis for discussion during the rest of the year. Those bills debated in early 2017 will build off of what happens in 2016.

Wonky Talkin’: A Whole Lotta Nothing for Washington in 2016?

January 7, 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. This week, VP of Government Affairs for Investment Management Jill Hoffman explains why Congress appears dysfunctional and breaks down a damaging regulation that could impact Americans’ ability to save for retirement.


The U.S. Department of Labor’s Misguided ‘Fiduciary’ Rule

December 15, 2015

By Mark Swartz, who offers securities through AXA Advisors, LLC and investment advisory products and services through AXA Advisors, LLC, an investment advisor registered with the SEC. // Both Democratic and Republican legislators have expressed concerns about proposed regulations from the Obama administration that will change the way Americans receive financial advice. The effect of these rules, if enacted as written, will be negative for savers in Northern Virginia as well as in the rest of the nation. They will disrupt an individual’s ability to access advice during the process of investment and retirement planning.


Media Advisory: FSR’s #FeeltheEarn ‘Making Retirement Great Again’ Features Importance of Hill Staffers, Americans Saving for Retirement

November 13, 2015

On Tuesday November 17, the Financial Services Roundtable (FSR) and its Save 10 Initiative are hosting a retirement event exploring how millennials define, think about and prepare for retirement. FSR will host a conversation featuring the experiences of real millennials and examine how Capitol Hill staffers and other young adults can begin planning for their financial future.

Candidates Should Talk About This Crisis

November 10, 2015

Presidential candidates are busy staking out positions on issues ranging from foreign affairs to the regulation of fantasy football. But one critically important issue has been largely overlooked in the campaign so far. It’s an issue that profoundly impacts the current or future well-being of nearly every American. The issue is the pressing need for Americans to better prepare for their retirement or life after they no longer are able to work.