Regulatory Notice 09-39

SEC Approves Changes to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws; Effective Date: August 20, 2009

Executive Summary

Effective August 20, 2009, the Board composition of FINRA Regulation, Inc. (a subsidiary of FINRA) willmore closely parallel the composition and governance structure of the FINRA Inc. Board of Governors (FINRA Board). The revisions to the FINRA Regulation, Inc. By-Laws (By-Laws) also reflect current business and legal practices concerning the administration of FINRA Regulation. In addition, the revisionsmake non-substantive or conforming changes to the By-Laws, including updates to reflect the corporate name change. The revised By-Laws are available at www.finra.org/finramanual/bylaws.

 

Questions concerning this Notice should be directed to Stacy Paxson Chittick, Associate Vice President and Associate General Counsel, Office of General Counsel, at (202) 728-8375.