Communications to Firms

 

From FINRA Chairman and CEO

• Update: FINRA Board of Governors Meeting – 4/23/12
• Update: FINRA Board of Governors Meeting – 2/17/12
• 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

 

FINRA Board of Governors

• Rulemaking Items for Discussion at the April 2012 Meeting – 4/11/12
• Rulemaking Items for Discussion at the February 2012 Meeting – 2/8/12
• 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

 

Annual Regulatory and Examination Priorities Letters

 

From Small Firm Advisory Board (SFAB)

• SFAB Update – 3/13/12
• SFAB Update – 8/18/11
• SFAB Update – 3/16/11

• Communications to Firms Archive