Communications to Firms Archive
Following are archives of communications sent to FINRA member firms.
From FINRA Chairman and CEO
FINRA Board of Governors
From Small Firm Advisory Board (SFAB)
- 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.