Communications to Firms Archive

Following are archives of communications sent to FINRA member firms.

From FINRA Chairman and CEO

FINRA Board of Governors

From Small Firm Advisory Board (SFAB)


  • 2/24/09 – Richard G. Ketchum Named FINRA's Chief Executive Officer
  • 1/23/09 – Schapiro Confirmed by Senate; Luparello Named Interim CEO
  • 9/15/08 – FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
  • 8/10/06 – View a letter to petitioning NASD Member Firms from Richard Brueckner, Presiding Governor, NASD Board of Governors.
  • 12/26/02 – Reduction of TRACE-related fees.