Communications to Firms
Following are communications sent to FINRA member firms.
Communications From Mary Schapiro, FINRA Chief Executive Officer
- October 8, 2008 - update on FINRA’s actions in response to recent market events
- May 14, 2008 - update on progress with development of the FINRA Rulebook
- February 13, 2008 - update on the progress of our ongoing integration and other activities at FINRA.
- November 12, 2007 - launch of FINRA's first advertising campaign to help educate investors.
- October 11, 2007 - Mary Schapiro Announces Small Firm Emergency Partner Program.
- October 11, 2007 - three new FINRA initiatives: the Small Firm Emergency Partner Program, the Firm Gateway and a new podcast series.
- July 31, 2007 - additional information related to the final consolidation.
- July 30, 2007 - announcement that the Financial Industry Regulatory Authority (FINRA) officially began operations.
- April 26, 2007 - Board adopts proposals recommended by Small Firms Rules Impact Task Force.
- November 28, 2006 - Plan to consolidate NASD and NYSE member regulation.
- November 14, 2006 - Possible regulatory consolidation between NASD and NYSE.
- October 11, 2006 - Sanction Guidelines and the formation of the Office of Member Relations.
Communications Regarding Member Regulation and Examination Priorities
- March 24, 2008 - 2008 examination priorities.
- February 13, 2007 - Bob Errico highlights new and existing regulations that are significant to NASD's examination program.
- May 17, 2006 - Bob Errico highlights regulations that impact examination scope.
- December 28, 2006 - Update on recent regulatory events.
Communications from the Small Firm Advisory Board (SFAB) Chairman
- July 31, 2008 - FINRA Certified Regulatory and Compliance Professional Scholarship Program
- April 16, 2008 - Regulation S-P
- November 15, 2007 - Update: FINRA Small Firm Advisory Board
- September 18, 2006 - NASD forms two new task forces.
- June 14, 2006 - Highlights from the NASD Spring Conference.
- March 13, 2006 - Supervisory controls.
- December 20, 2005 - Regulatory issues.
- August 30, 2005 - Regulatory issues.
- May 5, 2005 - Amendments to the NASD's Supervisory Rules.
- March 30, 2005 - SEC Proposed Rule S7-06-04.
- March 10, 2005 - Regulatory issues.
- January 20, 2004 - SFAB activities.
- May 2003 - Extension of the NASD breakpoint compliance self-assessment deadline.
- March 2003 - Regulatory issues.
- January 7, 2003 - Issues that are important to small firms.
- June 27, 2002 - Regulatory issues.
- December 13, 2001 - Regulatory issues.
Other
- September 15, 2008 - FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
- August 10, 2006 - View a letter to petitioning NASD Member Firms from Richard Brueckner, Presiding Governor, NASD Board of Governors.
- December 26, 2002 - Reduction of TRACE-related fees.