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.

October 10, 2018
A Few Minutes With FINRA: Creating a Single, Unified Examination Program
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Bari Havlik, FINRA’s Executive Vice President of Member Supervision, about the recent decision to consolidate FINRA’s examination and risk monitoring programs. The discussion includes an overview of how FINRA plans to integrate three separate programs into a single, unified program to drive more effective oversight, reduce duplication and create a single point of accountability for the examination of firms. (6 min. 42 sec.)
October 5, 2018
Update: FINRA Board of Governors Meeting
FINRA’s Board of Governors met last week in New York, and I am writing to share with you some updates from our discussions.
September 25, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week in New York. Read President and CEO Robert Cook’s email to firms previewing the agenda.
September 12, 2018
A Few Minutes with FINRA: Small Firm Advisory Committee
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Wendy Lanton, Chief Compliance Officer of Lantern Investments and Chair of the Small Firm Advisory Committee (SFAC), about the SFAC and the work it does on behalf of small firms. The discussion includes an overview of the committee structure, the 2018 SFAC election, and information on how small firms can get more involved and raise issues to be addressed. (17 min. 59 sec.)
July 25, 2018
July 2018 Board Update
Watch the video report featuring highlights of the July 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
July 16, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the third time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
June 6, 2018
A Few Minutes with FINRA: 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
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 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.
March 14, 2018
March 2018 Board Update
Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.

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