FSI Poll: Midterm Elections, Industry Issues
FSI today released the results of the latest poll of independent financial advisors focusing on the upcoming midterm elections and critical industry issues.
Update: Agent Compensation Disclosure
FSI and SIFMA wrote a letter on how the rule is preempted by the National Securities Markets Improvement Act. After receiving it, the Division announced it would revise the rule.
FINRA’s BrokerCheck Rule
FINRA has re-proposed a rule that would require advisors and firms to include a hyperlink to BrokerCheck in their websites.
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.