As Financial Commission is an industry-supported self-regulatory organization (SRO) our enforcement of member compliance is reflected entirely within our membership standings where a firm’s integrity and adherence to rules must be strictly upheld in order for membership to be maintained.

Financial Commission is committed to assisting new and existing firms to comply with their membership obligations. Yet the Financial Commission will not tolerate when members fail to uphold their obligations.

For more information about Financial Commission membership requirements, please contact us or visit www.FinancialCommission.org.