Important: Fraud Alert
It has recently come to our attention that certain individuals are using the good name of FSI in an effort to perpetuate a fraud.
FSI Statement: FINRA CARDS Proposal
FSI issued a statement from FSI President and CEO Dale Brown on FINRA's announcement regarding its CARDS proposal and the most recent developments on this item.
FSI Statement on SEC initiative
FSI has issued a statement on the SEC's new initiative to examine registered investment advisers who have never been examined.
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.