Talks in Tennessee
As part of FSI’s State Outreach Plan, FSI members and staff traveled to Tennessee last month for a meeting with Daphne Smith, the Assistant Commissioner of the Tennessee Division of […]
As part of FSI’s State Outreach Plan, FSI members and staff traveled to Tennessee last month for a meeting with Daphne Smith, the Assistant Commissioner of the Tennessee Division of […]
More than 100 of our members converged on Capitol Hill on May 22, meeting with nearly 200 members of Congress and their staffs on the most critical issues affecting the […]
This week, FSI met with Rep. Scott Garrett (NJ-R), pictured right with FSI President and & CEO Dale Brown, to discuss issues concerning our members. It was a pleasure to […]
On April 8, 2014, FINRA published Regulatory Notice 14-15, requesting comment on firms’ experiences with FINRA’s rules on Gifts and Gratuities and Non-Cash Compensation. FINRA is conducting a retrospective review […]
On April 8, 2014, FINRA published Regulatory Notice 14-14, requesting comment on firms’ experiences with FINRA’s rules on Communications with the Public. FINRA is conducting a retrospective review of these […]
As part of our State Outreach Plan, members of FSI’s advocacy team traveled to Sacramento, California to meet with several members of the California state legislature to discuss social media, […]
As part of FSI’s State Outreach Plan, FSI members and staff traveled to Maine for a meeting with Judith Shaw, the Administrator of the Maine Office of Securities and her […]
On December 23, 2013, the SEC issued an order adopting proposed changes to FINRA’s supervision rule. On October 28, FSI filed a comment letter supporting FINRA’s proposed changes to the […]
FSI is committed to advocating for its members on the federal and state levels. We’ve written a lot about the Department of Labor’s redefinition of ‘fiduciary’ rule, the importance of advisors’ […]
On March 7, 2014, FINRA filed a proposed rule change with the SEC. If adopted, this new rule would require financial advisors who receive recruitment compensation to provide transferring clients […]