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

FSR & SIFMA Ask SEC to Re-Propose ABS Releases

March 31, 2014

SIFMA and FSR commend the Commission for its continuing efforts to promote more efficient and transparent ABS markets and for facilitating dialogue on its regulatory proposals. However, we urge the Commission to abandon the flawed approach to the disclosure of asset-level information outlined in the Memorandum, which would expose both consumers and issuers to unwarranted risks and liabilities.


SIFMA and FSR Comment on Dissemination of Asset-Level Data by ABS Issuers

March 28, 2014

The Associations commend the Commission for its continuing efforts to promote more efficient and transparent ABS markets and for facilitating dialogue on its regulatory proposals. Although the Associations’ members generally support the disclosure of asset-level data with respect to some ABS asset classes, we urge the Commission to abandon the flawed disclosure mechanism suggested in the Memorandum, which would expose both consumers and issuers to unwarranted risks and liabilities.

FSR Comments on FINRA CARDS Proposal, 3/21/14

March 22, 2014

FSR identified several concerns with the proposal, including personal privacy and data security concerns. In urging that FINRA not adopt CARDS in its current form, FSR noted that investor confidence would be undermined by the “perception that sensitive financial information could be leaked, abused, or misappropriated.”


Letter re: Ensuring Uninterrupted Access to the Death Master File, 3/18/14

March 19, 2014

The undersigned organizations represent directly or indirectly the vast majority of the employers sponsoring retirement plans in this country. Those employers and their plans’ service providers are existing users of the Death Master File (DMF) and have significant interests in ensuring uninterrupted access to it.

Letter of Support: H.R. 4167, the Restoring Proven Financing for American Employers Act

March 13, 2014

Financial Services Roundtable (“FSR”) supports H.R. 4167, the Restoring Proven Financing for American Employers Act, sponsored by Rep. Andy Barr, and thanks the Committee for its consideration. The bill makes an important improvement to Section 13 of the Bank Holding Company Act (also known as the Volcker Rule) which will aid banking entities in their efforts to provide financing to U.S. companies.


A controversial new rule could affect your 401(k)

March 13, 2014

“We are not quite finished. We haven’t made all of our decisions,” said Phyllis Borzi, the assistant secretary of the Employee Benefits Security Administration, in remarks at a Financial Services Roundtable event. “August is our goal.”

Tax on Lending, Retirement Security Provisions in POTUS Budget Concerning

March 4, 2014

“Increasing the cost of lending is the last thing this still fragile economy needs,” said FSR CEO Tim Pawlenty. “Layering costs onto one critical part of the economy will reduce lending to the growing businesses that will provide the new jobs needed to push the economy into higher gear.”


Tackling America’s Coming Retirement Crisis: Charting a Course Forward

February 27, 2014

Financial Services Roundtable (FSR) is hosting a event, “Tackling America’s Coming Retirement Crisis”, focused on retirement security issues and the forthcoming proposed fiduciary duty rule from the U.S. Department of Labor. Opening remarks will be delivered by the DoL’s Assistant Secretary Phyllis Borzi.