Communications to Firms Archive

Following are archives of communications sent to FINRA member firms.
 

Communications From FINRA Chairman and CEO

 

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

 

Communications From the Small Firm Advisory Board (SFAB)

 

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

 

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.