Resources & Reference
Advocacy Action Center – Learn all the nuances of a new rule or compliance requirement coming your way. Write a letter to your senator or representative and frame the issue for results. Discover what a political action committee is and how you can support FSI PAC.
B-D Study – The annual FSI Financial Performance & Compensation Study provides detailed benchmarking data of the independent broker-dealer community in two separate reports -- one analyzing the financial performance of broker-dealer firms and the other addressing the compensation of broker-dealer home office personnel.
Compliance Tools – (login required) Broker-Dealer Compliance Tools available to broker-dealer members include: model compliance forms, model home office internal audits checklist, and non-uniform state requirements.
Connections – (login required) FSI "Connections" is the online community for broker-dealer members of the Financial Services Institute. This is a private, online message board where members can ask questions, exchange ideas and benchmark with other home office employees of member firms about industry issues.
Ops - Tech Connect - (login required) Ops - Tech Connect is an online community for broker-dealer members of the Financial Services Institute to share experiences, share best practices and research the technology that other FSI members own. This is a private, online user group where you can learn about the technology that FSI members own and discuss technology with other FSI members.
FSIVoice – Each quarter, read in-depth features on legislative and regulatory issues and learn more about our events, leaders, and advocacy activities in FSIVoice, our member newsletter.
Information Security – (login required) Information Security information is available to assist member firms with addressing the complex issues associated with meeting their regulatory obligations to protect client information and data from unauthorized disclosures to third parties.
Recent Regulatory Actions – A summary of recent regulatory enforcement activity of relevance to independent broker-dealer firms.
Resume Directory – The FSI Resume Directory's purpose is to help establish contact between those who need and those who offer employment.
Research – FSI conducts quarterly surveys to learn more about members’ thoughts and opinions on regulatory and business issues affecting independent broker-dealers and financial advisors. Key findings from each survey are made available.
Speaker-Hotel Database – (login required) The FSI Speaker-Hotel Database is an Excel spreadsheet containing conference speaker and conference hotel recommendations made by FSI member firm personnel.