Communications to Firms

 

From FINRA Chairman and CEO

• Update: FINRA Board of Governors Meeting – 4/19/13
• Update: FINRA Board of Governors Meeting – 2/14/13
• Annual Regulatory and Examination Priorities – 1/11/13
• Update: FINRA Board of Governors Meeting – 12/7/12
• Update: FINRA Board of Governors Meeting – 9/14/12
• Update: FINRA Board of Governors Meeting – 7/13/12
• Update: FINRA Board of Governors Meeting – 4/23/12
• Update: FINRA Board of Governors Meeting – 2/17/12

 

FINRA Board of Governors

• Rulemaking Items for Discussion at the April 2013 Meeting – 4/10/13
• Rulemaking Items for Discussion at the February 2013 Meeting – 2/5/13
• Rulemaking Items for Discussion at the December 2012 Meeting – 11/28/12
• Rulemaking Items for Discussion at the September 2012 Meeting – 9/5/12
• Rulemaking Items for Discussion at the July 2012 Meeting – 7/5/12
• Rulemaking Items for Discussion at the April 2012 Meeting – 4/11/12
• Rulemaking Items for Discussion at the February 2012 Meeting – 2/8/12

 

Annual Regulatory and Examination Priorities Letters

 

A Few Minutes With FINRA

Brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.

 

From Small Firm Advisory Board (SFAB)

• SFAB Update – 10/22/12
• SFAB Update – 3/13/12

• Communications to Firms Archive