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.

June 6, 2018
Exam Restructuring + the SIE Exam
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with John Kalohn, Vice President, Testing & Continuing Education, and Joe McDonald, Senior Director, Qualifications & Exams, about FINRA’s exam restructuring initiative. (10 min. 13 sec.)
May 17, 2018
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 Governors meeting.
May 17, 2018
May 2018 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
May 7, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the first time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
March 14, 2018
March 7 – 8, 2018 Board Update – Video Report and Email to Firms
March 5, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the first time in 2018. As is customary for each year’s first meeting, the Board’s will review FINRA’s corporate goals.
January 25, 2018
Small Firm Advisory Board Email to Small Firms
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
January 10, 2018
A Few Minutes with FINRA: High-Risk Brokers
Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice, talks about FINRA’s High-Risk Registered Representative Program. The discussion includes an overview of the program, the criteria FINRA uses to identify high-risk activity, and tools and resources that are available to help firms perform their own reviews. (8 min. 45 sec.)
January 8, 2018
2018 Regulatory and Examination Priorities Letter
December 20, 2017
December 2017 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the December 2017 FINRA Board of Governors meeting, including discussions around FINRA’s finances and financial transparency, 2017 accomplishments, enterprise risk management and more.

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