Regulation

Communications to Firms Archive

Following are archives of communications sent to FINRA member firms.

November 12, 2007 - launch of FINRA's first advertising campaign to help educate investors.
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.

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.

November 15, 2007 - Update: FINRA Small Firm Advisory Board
December 28, 2006 - Update on recent regulatory events.
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

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.