Companies › Financial Services Institute (FSI)

Financial Services Institute (FSI)

Trade or professional group Investment & Securities

Financial Services Institute (FSI) is listed as a trade or professional group in Investment & Securities. It has filed 7 comment letters on 5 proposed federal rules between 2022 and 2026, most often with the Securities and Exchange Commission. Of those rules, 2 were withdrawn.

Type
Trade or professional group
Industry
Investment & Securities
Comment letters
7
Rules commented on
5
First letter
2022-04-22
Latest letter
2026-09-22
Agencies most often
Securities and Exchange Commission (5); Financial Crimes Enforcement Network (1); Federal Trade Commission (FTC) (1)

Activity by year

20221
20233
20263

Letters

2026

Electronic Delivery of Information Under the Federal Securities Laws

S7-2026-25Securities and Exchange Commission · filed 2026-09-22 · filed as “Financial Services Institute”

Electronic Delivery of Information Under the Federal Securities Laws

S7-2026-25Securities and Exchange Commission · filed 2026-09-21 · filed as “Financial Services Institute”

Anti-Money Laundering and Countering the Financing of Terrorism Programs

FINCEN-2026-0034Treasury Department, Financial Crimes Enforcement Network · filed 2026-06-10 · filed as “Financial Services Institute”

2023

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-05-22 · filed as “Financial Services Institute” Withdrawn 2025

Safeguarding Advisory Client Assets

S7-04-23Securities and Exchange Commission · filed 2023-05-08 · filed as “Financial Services Institute” Withdrawn 2025

Non-Compete Clause Rule

FTC-2023-0007Federal Trade Commission (FTC) · filed 2023-04-19

2022

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2022-04-22 · filed as “Financial Services Institute” Withdrawn 2025