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

U.S. House Should Protect Americans’ Access to Financial Advice

October 27, 2015

FSR is being recognized today with the Society for Financial Education & Professional Development’s Eagle Award, which is given to an organization that does extraordinary work promoting financial literacy and makes significant contributions to financial education.



Obama Close to Imposing Hated Rule

September 25, 2015

President Obama is likely to see the implementation of a major new rule aimed at protecting retirement savings before he leaves office, despite opposition from the financial industry and several Republicans and Democrats.

The Markets, DoL, Trump and What we can Learn from the UK

August 26, 2015

The market turmoil of the past few days has put many investors on edge about the state of the world’s financial markets. Many mom and pop investors may not be as tuned into the political dynamics shaping China’s recent decision to devalue its currency, a decision that has led to a worldwide market reaction. If When watching the news, the stark image of the stock “heat map” lit up in red is a scary one for any investor, particularly for those whose retirement future can deteriorate in a flash. While it’s too soon to know if the market volatility will be short lived, it is clear that any uncertainty can often make level-headed people invested in the market want to react to protect their nest eggs.



Going Beyond the Sound Bite – Fiduciary is Complicated, so How Do You Keep it Simple?

July 21, 2015

For years, efforts have been afoot to redefine what it means to be a fiduciary when providing financial advice to clients. The question is straightforward, “Should your financial professional act in your best interest?” The answer is, “Yes. Of course, they should.”

Anyone worth their salt in the financial services industry has to do what’s right for their clients, or they won’t be in business for very long. The trouble is, when you start to use words like “fiduciary duty” and then insert federal and state regulators with different rules governing investment and retirement products and the professionals that serve clients saving for retirement, that very straightforward question, as with most things in regulation, gets, well, complicated.

The Advice Yield – How to Achieve the Best Deal for Savers

July 16, 2015

Benjamin Franklin famously said, “If you fail to plan, you are planning to fail!”

This philosophy is especially relevant to workers who are increasingly responsible for navigating their way to a financially secure retirement due to a decline in defined pension plans and the tenuous future of Social Security. This can be a daunting task for many who feel intimidated by the markets and fearful of making uninformed investment decisions that will dramatically shape their ability to retire with ease.