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  • Advocacy Action Center

    Our principle value proposition for independent broker-dealers and independent financial advisors is advocacy. And 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 – along with who’s who in Washington – and is designed to help you get involved with simple but effective steps. Write a comment letter, call your representatives in Congress, or print and send an issue briefing or a white paper. You can be an active part of the cause without ever leaving your desktop.

    Our 2012 advocacy priorities are:

    • Influence Dodd-Frank implementation of:
      • Section 913 - Standard of Care
      • Section 914 - SRO for RIAs
    • Preserve 12b-1 Fees
    • Influence Implementation of B/D Disclosures in Response to FINRA RN 10-54
    • Support Efforts to Reform SEC & FINRA
    • Improve Securities Regulations
    • Preserve Independent Contractor Status
    • Oppose Taxes on Small Businesses, Financial Services & Retirement Assets
    • Expand Access to Retirement Advice, Products & Services


    Read the latest on our advocacy activities in Washington – follow us on Twitter.

    Listen to an update on the issues from the most recent Advisor Briefing.

    Participate in preserving your business model – take action with our simple advocacy action tools.

    Use FSI PAC to extend our advocacy strategy.