2021 MMI/Barron’s Industry Awards: Nomination Guidelines and Frequently Asked Questions



Please take careful note of the following Nomination Guidelines – some of which are new for 2021.

  • There are twelve award categories this year.
  • Seven of the categories are open for nominations on behalf of any type of firm. Five of the categories are restricted to certain types of firms – e.g., Wealth Managers (Sponsor Firms), Asset Managers or Solutions Providers. Please observe the category guidelines when submitting nominations.
  • MMI and the Industry Awards Steering Council reserve the right to place nominations in the proper category.
  • There is a unique nomination form for each award category.
  • Firms are encouraged to nominate other firms whose work they admire.
  • Firms can also nominate themselves. However, a firm must submit only one official nomination on its own behalf in any award category.
  • Multiple self-nominations received from the same firm in any award category will be disallowed – so it is important that a firm coordinate and submit one official self-nomination in any category.
  • For each category in which a firm nominates itself, it must also submit a nomination for another firm in another category.
  • If a PR/marketing firm submits a nomination on behalf of a client firm, the client firm or the PR/marketing firm must also submit a nomination for another firm in another category.
  • Nominations must be submitted by emailing the appropriate and fully completed nomination forms to awards@mminst.org. Incomplete forms will not be accepted.
  • Nominations are due by 5:00 PM ET on Friday, August 13.


What is the eligibility period for the nominations?
The Industry Awards are annual awards. As such, nominations should be for products, programs and initiatives initiated or significantly enhanced since October 2020. The intent is to recognize substantially new initiatives – not minor enhancements to existing programs.

When is the deadline to submit nominations?
All nomination forms must be submitted by email to awards@mminst.org by 5:00pm ET on Friday, August 13. At its sole discretion, MMI may elect to extend the nomination deadline.

How are nominations evaluated?
Nominations are reviewed and evaluated by the specially-appointed MMI Industry Awards Steering Council and by the MMI Membership Experience Committee (MEC). The Steering Council and MEC consist of representatives from all segments of the MMI membership. At their sole discretion, the Steering Council and MEC may enlist the support of outside subject matter experts to help review the nominations. The Steering Council and MEC will look for innovative, needle-moving programs and initiatives that measurably advance the investment advisory solutions industry and deliver improved outcomes for financial advisors and investors. After carefully reviewing the nominations submitted, the Steering Council and MEC will determine a slate of finalists in each award category. If appropriate, in certain “open” award categories, the Steering Council and MEC may elect to propose separate slates of finalists representing Asset Managers, Wealth Managers (Sponsor Firms), Solutions Providers, etc.

When will finalists be announced?
Finalists will be announced at www.MMInst.org the week of September 20*. Successful finalists will also be notified via email.
*Date subject to change

How are winners determined?
Award winners will be determined by a vote of primary contacts at each member firm. These individuals will receive an online ballot the week of September 20* to cast their votes among the finalists.
*Date subject to change

What is Gateway?
The Gateway Foundation’s mission is to welcome, prepare, and advance under-represented talent throughout the financial services industry. The Foundation supports Communities via Financial Literacy Programs, Entry-Level professionals via Industry Awareness & Preparation Programs and Mid-Career Professionals via Performance & Professional Development Programs.

Who do I contact with questions on nominations or the awards process?
Email awards@mminst.org or call us at (646) 868-8500.

Who do I contact with questions about the 2021 MMI Annual Conference?
Information is available here. You can also email events@mminst.org or call us at (646) 868-8500.

Click here to return to the Nomination Forms. If you have any questions, please email awards@mminst.org or call us at (646) 868-8500.