Communications to Firms Archive

Following are archives of communications sent to FINRA member firms.
 

From FINRA Chairman and CEO

 

• Update: FINRA Board of Governors Meeting – 12/9/11
• Update: FINRA Board of Governors Meeting – 9/23/11
• Update: FINRA Board of Governors Meeting – 7/15/11
• Update: FINRA Board of Governors Meeting – 4/18/11
• Update: FINRA Board of Governors Meeting – 2/4/11
• Update: FINRA Board of Governors Meeting – 12/9/10
• Update: FINRA Board of Governors Meeting – 9/28/10
• Final Results: FINRA Annual Meeting – 8/13/10
• Update on FINRA’s actions in response to recent market events – 10/8/08
• Update on progress with development of the FINRA Rulebook – 5/14/08
• Update on the progress of our ongoing integration and other activities at FINRA – 2/13/08
• Launch of FINRA's first advertising campaign to help educate investors – 11/12/07
• Three new FINRA initiatives: the Small Firm Emergency Partner Program, the Firm Gateway and a new podcast series – 10/11/07
• Additional information related to the final consolidation – 7/31/07
• Announcement that the Financial Industry Regulatory Authority (FINRA) officially began operations – 7/30/07
• Board adopts proposals recommended by Small Firms Rules Impact Task Force – 4/26/07
• Plan to consolidate NASD and NYSE member regulation – 11/28/06
• Possible regulatory consolidation between NASD and NYSE – 11/14/06
• Sanction Guidelines and the formation of the Office of Member Relations – 10/11/06

 

FINRA Board of Governors

 

• Rulemaking Items for Discussion at the December 2011 Meeting – 11/30/11
• Rulemaking Items for Discussion at the September 2011 Meeting – 9/14/11
• Rulemaking Items for Discussion at the July 2011 Meeting – 7/6/11
• Rulemaking Items for Discussion at the April 2011 Meeting – 4/6/11
• Rulemaking Items for Discussion at the February 2011 Meeting – 1/26/11

 

From Small Firm Advisory Board (SFAB)

 

• SFAB Update – 8/18/11
• SFAB Update – 3/16/11
• SFAB Update – 11/9/10
• SFAB Update – 10/16/09
• SFAB Update – 2/9/09
• FINRA Certified Regulatory and Compliance Professional Scholarship Program – 7/31/08
• Regulation S-P – 4/16/08
• Update: FINRA Small Firm Advisory Board – 11/15/07
• Update on recent regulatory events – 12/28/06
• NASD forms two new task forces – 9/1806
• Highlights from the NASD Spring Conference – 6/14/06
• Supervisory controls – 3/13/06
• Regulatory issues – 12/20/05
• Regulatory issues – 8/30/05
• Amendments to the NASD's Supervisory Rules – 5/5/05
• SEC Proposed Rule S7-06-04 – 3/30/05
• Regulatory issues – 3/10/05
• SFAB activities – 1/20/04
• Extension of the NASD breakpoint compliance self-assessment deadline – May 2003
• Regulatory issues – March 2003
• Issues that are important to small firms – 1/7/03
• Regulatory issues – 6/27/02
• Regulatory issues – 12/13/01

 

Other

 

• 2/24/09 – Richard G. Ketchum Named FINRA's Chief Executive Officer
• 1/23/09 – Schapiro Confirmed by Senate; Luparello Named Interim CEO
• 9/15/08 – FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
• 8/10/06 – View a letter to petitioning NASD Member Firms from Richard Brueckner, Presiding Governor, NASD Board of Governors.
• 12/26/02 – Reduction of TRACE-related fees.