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Printer-Friendly Communications to Firms

Update From FINRA  

Read Mary Schapiro's May 14 email to firms with an update on our progress with development of the FINRA Rulebook.

2008 Examination Priorities Letter

FINRA's annual letter to firms highlighting regulatory topics that are of particular significance to this year’s examination program. 

Update From FINRA
Read Mary Schapiro's February 13 email to firms with an update on the progress of our ongoing integration and other activities at FINRA.

FINRA Ad Campaign
Read Mary Schapiro's November 12 email to firms announcing the launch of FINRA's first advertising campaign to help educate investors.

Mary Schapiro Announces New FINRA Initiatives 
In an email to firms on October 11, 2007, FINRA CEO Mary Schapiro announced three new FINRA initiatives: the Small Firm Emergency Partner Program, the Firm Gateway and a new podcast series.

Mary Schapiro Announces Small Firm Emergency Partner Program 
Mary Schapiro announced the launch of the Small Firm Emergency Partner Program—a voluntary initiative that enables firms to partner with each other in preparation for a significant business disruption—at the 2007 Fall Securities Conference.

Important Information for Firms
In a July 31, 2007 email, firms were provided additional information related to the final consolidation.

Mary Schapiro Announces Launch of FINRA

In an email to firms on July 30, 2007, Mary Schapiro announced the securities industry's new self-regulatory body, the Financial Industry Regulatory Authority (FINRA), officially began operations.

Message to NASD Member Firms From Mary Schapiro, Chairman & CEO, NASD 
Read Mary Schapiro's April 26, 2007 update to NASD members on the Small Firm Rule Impact Task Force.

Letter to Firms - February 13, 2007

Message to NASD Member Firms From Mary Schapiro, Chairman and CEO, NASD 
Read Mary Schapiro's October 11, 2006, introductory letter to NASD member firms.

Letter to Petitioning Firms - August 10, 2006

View a letter to petitioning NASD Member Firms from Richard Brueckner, Presiding Governor, NASD Board of Governors.

Letter to Firms - May 17, 2006

View a letter to NASD Member Firms from Robert Errico, Executive Vice President of Member Regulation at NASD