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.

July 24, 2017
Cybersecurity – Part III
Dave Kelley explains common cybersecurity program deficiencies related to vendor management, branch-level controls and data protection. (7 min. 45 sec.)
July 18, 2017
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.
July 17, 2017
Cybersecurity – Part II
Dave Kelley talks about formalizing the oversight of a firm's cyber program and strengthening controls around access to data and systems. (6 min. 24 sec.)
July 12, 2017
July Board of Governors Meeting: Rulemaking Items for Consideration
FINRA's Board of Governors will meet on July 18 in Boston and will consider the following rulemaking items. After the meeting, FINRA will notify firms via email about the Board's actions and anticipated next steps, if any.
July 10, 2017
Cybersecurity – Part I
Susan Axelrod and Dave Kelley discuss common deficiencies FINRA staff see during examinations of firm's cybersecurity programs. (6 min. 34 sec.)
May 11, 2017
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.
May 3, 2017
May Board of Governors Meeting: Rulemaking Items for Consideration
FINRA's Board of Governors will meet on May 10 in New York and will consider the following rulemaking items. After the meeting, FINRA will notify firms via email about the Board's actions and anticipated next steps, if any.
April 25, 2017
Risk Monitoring Report Cards
Noah Egorin describes the risk monitoring reports that are available through FINRA’s Report Center. (9 min. 53 sec.)
April 10, 2017
Insider Trading “Red Flags” and Filing a Tip With FINRA
FINRA Cam Funkhouser, Executive Vice President of FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI), suggests some “red flags” firms should look out for with regard to insider trading, provides an overview of recent cases his office has handled, and explains how to contact FINRA with a tip about insider trading or other fraud. (8 min. 11 sec.)
March 21, 2017
Special Notice: Engagement Initiative
Robert Cook talks about the recently published Special Notice seeking comment on enhancements to certain aspects of FINRA’s engagement efforts. (8 min. 44 sec.)

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