Florida Alert: Branch Application Errors
To assist advisors in preventing avoidable fines, we have published a list of common mistakes found by OFR in branch office applications.
FSI Elects Directors, Committee Officers
FSI announced the election of two new Directors for its Board for 2014; the Board also elevated two of its Directors to new leadership positions.
State Advocacy: Delaware
This week, we are highlighting the latest bills and developments in
Delaware that relate to the independent financial services industry
(member login required).
Our principal goal at FSI is to promote a healthier regulatory environment for independent financial services firms and their affiliated financial advisors through constructive and effective advocacy. This is done through a combination of advocacy and grassroots efforts. View our top issues.
Advocacy is not a spectator sport. It’s involvement, engagement, influence, education, and awareness. Our Advocacy Action Center includes intelligence and insight on all the issues and is designed to help you get involved with simple but effective steps. Get involved.