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

Let’s get the ‘costs’ of retirement savings right

February 13, 2015

Globe columnist Robert L. Reynolds discusses Congress’s new “dynamic scoring” plan, which he says is flawed because the scoring exaggerates costs of tax deferrals for savings in 401(k) plans and IRAs. He suggests requiring any tax laws affecting savings deferrals to consider the full “life-cycle costs and benefits” of those deferrals, and then adjust the cost to the Treasury, thereby showing true costs of tax deferrals for retirement, and most likely lowering them.

What FSR hopes to see from today’s FSOC meeting

January 21, 2015

The Financial Stability Oversight Council (FSOC) is holding an open meeting today to discuss their evaluation process for designating large financial institutions as “systemically important”—aka designating them as “SIFIs”.


House Bill is Good for the Economy While Leaving the Volcker Rule Intact

January 12, 2015

The Dodd-Frank Act is a big statute. With 15 separate titles, 847 pages of text and over 365,000 words, the Act is a massive sea change that has impacted every sector of our nation’s financial system. Congress will continue review this important statute this year and consider ways to improve it so that our economy can continue to create jobs in a prudent and fair way.


Two GAO Reports & Hill Legislation Rebuke FSOC’s Secretive Process

November 21, 2014

The Government Accountability Office’s released a report yesterday backing a point the financial services industry has been making for years: the Financial Stability Oversight Council needs to open up about the process it uses to determine whether to label insurance companies, finance companies, asset managers, and other non-bank financial companies as “systemically important” and to subject them to bank-centric regulations established by the Federal Reserve.

FSOC’s Behavior is Risky Business

September 17, 2014

The Government Accountability Office issued a report today noting that the Financial Stability Oversight Council – the government body that decides if financial services companies pose risk to the economy – operates in the shadows and needs to be more transparent.



FSR Praises House Passage of CLO Asset Protections

April 29, 2014

“CLOs allow banks to extend credit to businesses that otherwise don’t fit the standard mold for conventional loans,” said FSR Executive Vice President of Government Affairs Francis Creighton. “These businesses are important for advancing innovation and we commend the bipartisan support for this fix in the House today. We urge the Senate to move forward expeditiously on this issue.”