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Resources
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Letters to FINRA Members |
Following are letters sent to FINRA members.
Communications From Mary Schapiro, FINRA Chief Executive Officer
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February 13, 2008 - update on the progress of our ongoing integration and other activities at FINRA.
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November 12, 2007 - launch of FINRA's first advertising campaign to help educate investors.
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October 11, 2007 - three new FINRA initiatives: the Small Firm Emergency Partner Program, the Firm Gateway and a new podcast series.
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July 31, 2007 - additional information related to the final consolidation.
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July 30, 2007 - announcement that the Financial Industry Regulatory Authority (FINRA) officially began operations.
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April 26, 2007 - Board adopts proposals recommended by Small Firms Rules Impact Task Force.
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November 28, 2006 - Plan to consolidate NASD and NYSE member regulation.
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November 14, 2006 - Possible regulatory consolidation between NASD and NYSE.
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October 11, 2006 - Sanction Guidelines and the formation of the Office of Member Relations.
Communications Regarding Member Regulation and Examination Priorities
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March 24, 2008 - 2008 examination priorities.
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February 13, 2007 - Bob Errico highlights new and existing regulations that are significant to NASD's examination program.
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May 17, 2006 - Bob Errico highlights regulations that impact examination scope.
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December 28, 2006 - Update on recent regulatory events.
Communications from the Small Firm Advisory Board (SFAB) Chairman
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April 16, 2008 - Regulation S-P
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September 18, 2006 - NASD forms two new task forces.
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June 14, 2006 - Highlights from the NASD Spring Conference.
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March 13, 2006 - Supervisory controls.
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December 20, 2005 - Regulatory issues.
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August 30, 2005 - Regulatory issues.
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May 5, 2005 - Amendments to the NASD's Supervisory Rules.
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March 30, 2005 - SEC Proposed Rule S7-06-04.
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March 10, 2005 - Regulatory issues.
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January 20, 2004 - SFAB activities.
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May 2003 - Extension of the NASD breakpoint compliance self-assessment deadline.
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March 2003 - Regulatory issues.
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January 7, 2003 - Issues that are important to small firms.
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June 27, 2002 - Regulatory issues.
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December 13, 2001 - Regulatory issues.
Other
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