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

DoL Fiduciary Rule Comment Period Extension a Positive Step, Should Grant Full Extension Request

May 15, 2015

FSR thanked the Department of Labor (DoL) for granting a short extension for providing comments on its rule regarding fiduciary duty, following multiple extension requests from members of Congress, the financial services industry and others. However, while the 15-day extension period is appreciated, FSR urges the DoL to further consider granting a full extension to its comment period that would simply move the comment letter deadline from July 4th to the middle of August.


Save 10 In Your 401(k)

May 5, 2015

In a campaign to urge more employers to offer 401(k) retirement plans or beef up existing plans, the Financial Services Roundtable is inviting employers to become a Save 10 employer. “It’s kind of like the Good Housekeeping seal of approval,” says former Minnesota governor Tim Pawlenty who heads up the lobbying group.


FSR Announces New “Save 10” Initiative to Help Workers Save

May 4, 2015

With more than half of Americans not saving enough for retirement, the Financial Services Roundtable (FSR) announced a new national initiative today, “Save 10”, which is a business to business, peer to peer effort to encourage responsible employers to help their employees better prepare for a secure retirement by enabling them to save 10% of their income.


DoL Should Give Americans More Time to Understand 1K-Page Fiduciary Proposal

April 29, 2015

FSR continues to urge the Department of Labor to give Americans a reasonable amount of time to review and comment on the Department’s proposed fiduciary rule, a nearly 1,000 page document containing many complicated legal changes that could negatively impact low and moderate income Americans’ choices for financial advice.

Let’s Step It Up On Retirement

April 27, 2015

When we talk about the importance of retirement savings, what’s the target we should really be fixed upon? Many people don’t think about what it really costs to live during retirement, but the goal is to maintain as much of your pre-retirement lifestyle as possible after finishing the working years. And there should be enough of a cushion to ensure one can live for many years after retirement.


DOL Fiduciary Proposal Highly Complicated; Public Deserves More Time to Comment

April 22, 2015

FSR together with 15 financial trade associations are urging Department of Labor (DoL) regulators to provide more time for the financial services industry and thepublic to submit comments on the new fiduciary standards proposal, which is more than 1,000 pages in length, and could significantly impact choice and access to advice for millions of consumers.

Planning for Retirement Can Lead Americans Toward a Financially Secure Future

April 15, 2015

WASHINGTON, DC—Each day about 10,000 Baby Boomers enter their retirement years. They are members of a generation who are largely unsure of their financial future, as demonstrated by the latest research findings from the Insured Retirement Institute (IRI). For five years, IRI has seen Baby Boomers’ confidence in their financial preparations for retirement steadily dropping, with barely a quarter optimistic about their situation in 2015.