Broker-Dealer Compliance Tools are available exclusively to FSI Broker-Dealer Members. If you are an employee of an FSI member firm and would like to access these tools, click on the Member Login button at the top of this page and enter your email address and password. If you cannot remember your password, you will be given the opportunity to reset it.
If you are not a member of FSI, join us now or email us for assistance.
Tools to help FSI member firms enhance their compliance program include the following, below.
A comprehensive package of 36 model forms that independent broker-dealers can use to enhance their compliance program. The forms can be downloaded and customized to meet your firm's needs.
A reference tool to assist members in developing their own comprehensive home office internal audit checklist.
One of the biggest compliance challenges is keeping up with specific state requirements that differ from other states. This list is intended to help firms identify those unique state requirements that are out of sync with normal state rules.