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.

February 4, 2016
A Few Minutes With FINRA—BrokerCheck Rule 2210
Joe Savage, FINRA Vice President and Counsel – Regulatory Policy, expands upon FINRA Regulatory Notice 15-50, which describes FINRA Rule 2210 requiring firms to include a link to BrokerCheck on their website. He also provides details on several optional BrokerCheck-related tools and resources.
January 26, 2016
A Few Minutes With FINRA—2016 Regulatory and Examination Priorities Letter
Dan Sibears, FINRA's Executive Vice President of Regulatory Operations - Shared Services, provides further information on several key issues that are included in FINRA's 2016 Annual Regulatory and Examination Priorities Letter.
January 5, 2016
2016 Regulatory and Examination Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
December 15, 2015
Update: FINRA Board of Governors Meeting
Rulemaking items discussed at the December meeting include: ATS block data, award offsets in arbitration, qualification and registration, and shortening the settlement cycle.
September 17, 2015
Update: FINRA Board of Governors Meeting
Items discussed at the September meeting include: Financial Exploitation of Seniors and Other Vulnerable Adults; FOCUS Report Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items; OTC Bulletin Board; Securities Trader Qualification Exam Fee; Dispute Resolution Party Portal and Expungement of Customer Dispute Information.
July 9, 2015
Update: FINRA Board of Governors Meeting
Items discussed at the July 2015 meeting include: coordination with the MSRB, fixed income pricing disclosure, and National Adjudicatory Council changes.
April 16, 2015
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: communications with the public, mark-up/mark-down rule application to US treasury securities, the municipal adviser exam fee, and the trading activity fee.
February 18, 2015
A Few Minutes With FINRA—2015 Regulatory and Examination Priorities Letter
Dan Sibears expands upon several key topics addressed in FINRA's 2015 Regulatory and Examination Priorities Letter. (14 min. 12 sec.)
February 12, 2015
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include the following: BrokerCheck disclosure, discretionary accounts and transactions, regulatory element continuing education, sales of securities on military installations, and TRACE transaction reporting and historic data sets.
January 6, 2015
2015 Regulatory and Examination Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.

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