Communications to Firms

Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.

January 4, 2017
2017 Regulatory and Examination Priorities Letter
December 15, 2016
Update: FINRA Board of Governors Meeting
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governor’s meeting.
December 7, 2016
Rulemaking Items for Discussion at the December 2016 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its December 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions and anticipated next steps, if any.
September 30, 2016
Update: FINRA Board of Governors Meeting
Rulemaking items discussed at the September Board meeting include: communications with the public, non-public arbitrator definition and sending arbitrator selection lists to parties.
September 22, 2016
Rulemaking Items for Discussion at the September 2016 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its September 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any.
July 15, 2016
Update: FINRA Board of Governors Meeting
Rulemaking items discussed at the July Board meeting include: alternative display facility; desk research exemption from debt and equity research rules; and expansion of TRACE to U.S. Treasury Securities.
July 8, 2016
Rulemaking Items for Discussion at the July 2016 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its July 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any.
May 6, 2016
Update: FINRA Board of Governors Meeting
Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection in customer cases with three arbitrators.
March 23, 2016
A Few Minutes With FINRA—Digital Investment Advice Report
Dan Sibears, FINRA’s Executive Vice President of Regulatory Operations – Shared Services, expands upon the organization’s March 2016 Digital Investment Advice Report.
February 26, 2016
Update: FINRA Board of Governors Meeting
Rulemaking item discussed at the February 2016 meeting: fixed income pricing disclosure.

Pages