FSI Forum & Capitol Hill Day

Date: September 18 - 20, 2023

Capitol Hill Day, with face-to-face meetings, is back for the first time since 2019!

Important Event Update: Capitol Hill Registration Closed

All Capitol Hill appointments have been confirmed; therefore, we can no longer accept any additional registrations for this event.

Our hotel deadline has passed; however, hotel reservations may still be available. Please contact FSI at events@financialservices.org if you need a hotel reservation.

Key Speakers

Commissioner Mark T. Uyeda of the U.S. Securities and Exchange Commission will outline recent developments at that agency

Bruce Mehlman of Mehlman Consulting will detail the latest news from Washington

Lori Firsdon, columnist and owner of Forte Organizers, will explore organizing and simplifying in the Advancing Women in Leadership Workshop*


1:00 p.m. – 5:00 p.m.
FSI Board of Directors Meeting
Invitation only, closed to media

3:00 p.m. – 4:45 p.m.
Advancing Women in Leadership Workshop: Organize and Simplify at Work and at Home
Sponsored by Fidelity Investments

Lori Firsdon, Founder & Owner, Forte Organizers, LLC

Sometimes even the most organized individuals feel overwhelmed. It could be the constant interruptions, excessive commitments, demands of various people who count on you, or simply the sheer volume of tasks and decisions that claim your attention on a regular basis.

Discover the motivation to confront both the physical and psychological clutter in your life and reclaim your time in this transformative workshop led by Lori Firsdon, a renowned columnist, author, and owner of Forte Organizers. Her personal experience as an entrepreneur and mother of five has helped her develop valuable insights into simplifying one’s life, both in the office and at home.

5:00 p.m. – 6:00 p.m.
Welcome Networking Reception

7:00 a.m. – 8:15 a.m.
Networking Breakfast

8:15 a.m. – 9:00 a.m.
General Session: Navigating an Age of Disruption: The Key Trends in Policy & Politics in 2023-24
Bruce Mehlman, Political and Policy Expert | Partner, Mehlman Consulting

Highly sought-after speaker Bruce Mehlman will forecast the political terrain leading into the 2024 election cycle and map out what it may mean for our industry. He is a regular contributor to CNBC, Fox News, Fox Business and Hearst, as well as a featured expert on Showtime’s “The Circus.”

9:00 a.m. – 9:30 a.m.
Networking Break

9:30 a.m. – 10:15 a.m.
General Session: DOL Independent Contractor Rule Update
Closed to media
Jason Mendro, Partner, Gibson, Dunn & Crutcher
Andrew Kilberg, Attorney, Gibson, Dunn & Crutcher
David Bellaire, Executive Vice President & General Counsel, Financial Services Institute

Join David Bellaire as he sits down with attorneys from Gibson, Dunn & Crutcher to discuss the impending DOL independent contractor rule, what’s anticipated to have the most impact on your business, and how it may affect servicing your advisors and clients.

10:15 a.m. – 11:00 a.m.
General Session: SEC Developments
Mark Uyeda, Commissioner, U.S. Securities and Exchange Commission
Dale Brown, President & CEO, Financial Services Institute

Dale Brown talks with SEC Commissioner Mark Uyeda about the latest developments at the Commission and what to expect in the months ahead. Mark will provide insights on regulatory compliance, investor protection, risk management, current market conditions, and how technology and innovation may affect the future of advice.

11:00 a.m. – 11:30 a.m.
Networking Break

11:30 a.m. – 12:30 p.m.
General Session: FSI Advocacy Update & Hill Training
Closed to media
Hanna Laver, Director of Legislative Affairs & Senior Counsel (Moderator)
Renee Barnett, Vice President, Federal Regulatory Affairs and Senior Counsel
David Bellaire, Executive Vice President & General Counsel

Matt Landers, Director, Political Engagement

FSI’s advocacy team will bring you up to date on current initiatives including:

  • Standard of care
  • Independent contractor classification
  • Regulation by enforcement

If you plan to participate in Capitol Hill Day, be sure to stay for Hill Training following the updates. We will provide you with topics to cover with your representatives, tailored talking points and essential tips for making your day on the Hill a success.

12:30 p.m. – 1:45 p.m.
Networking Lunch / Council Meetings

1:45 p.m. – 2:30 p.m.
General Session: Industry Executive Panel
Closed to media
Von D. Cook II, Managing Partner, Client Centric Advisors

Stephen Langlois, President, Kestra Financial
Tarah Williams, President & COO, Prospera Financial Services
Dale Brown, President & CEO, FSI (Moderator)

Back by popular demand, a panel of veteran industry executives shares the hot-button topics for them and their businesses right now. They will tee up their plans to tackle:

  • AI: will it help or hurt our industry?
  • The DOL independent contractor rule and what it may mean
  • Next-Gen recruitment and strategies for attracting power players

2:30 p.m. – 5:30 p.m.
Targeted Discussions
Closed to media

  • CEO Roundtable
    • Advocacy Update & Discussion
    • Trends in Artificial Intelligence for Wealth Management by Craig Iskowitz, Ezra Group
  • Firm Executives
    • Welcome by Melissa Schuerman, Sammons Institutional Group
    • Technology with a Focus on AI/Chat GPT by Dani Fava, Envestnet
    • Behavioral Finance by Timothy Gregory, SEI
    • New Cybersecurity Risk Management Rule by Christy Zuzelo, Fidelity Investments
    • SEC Marketing Rule by A. Valerie Mirko, Armstrong Teasdale
    • Succession Planning by Drew Hirschler, BNY Mellon | Pershing
  • Financial Advisors
    • Welcome by Brad Stanger, Blackrock
    • CoveredAdvisor by Chris Paulitz, FSI
    • Succession Planning Workshop by Drew Hirschler, BNY Mellon | Pershing
    • Practice Acquisitions and Selling by David Grau, Succession Resource Group
    • Behavioral Finance by Timothy Gregory, SEI
    • New Cybersecurity Risk Management Rule by Mike Lefebvre, SEI

All sponsors may send one attendee to the Firm Executive and Financial Advisor discussions. Ambassador & Premier Sponsors may also send one attendee to the CEO discussion.

5:30 p.m. – 6:30 p.m.
Closing Reception

7:00 a.m. – 8:00 a.m.
Networking Breakfast
Closed to media

8:00 a.m. – 8:30 a.m.
Depart for Capitol Hill
Closed to media

9:00 a.m. – 4:00 p.m.
Appointments on Capitol Hill
Closed to media

4:00 p.m.

Lend Your Voice

Become a citizen advocate during Capitol Hill Day, as we address key advocacy issues, develop relationships with elected officials and offer insights into the role independent financial advisors play in providing affordable, professional advice to millions of Main Street Americans. When we come together on Capitol Hill and speak in a collective voice, legislators can’t help but take notice of our industry’s continued positive impact.

Please review our registration policies.

Washington Marriott Georgetown

Our hotel deadline has passed; however, hotel reservations may still be available. Please contact FSI at events@financialservices.org if you need a hotel reservation.