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.

May 24, 2017
Reflections from FINRA Annual Conference
Last week, we had the pleasure of hosting many of you at our Annual Conference—an event attended by more than a thousand individuals from around the country. I enjoyed meeting with members representing every corner of our industry and learning about the opportunities and challenges ahead for investors, the markets, and the brokerage industry.
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.)
March 8, 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.
March 1, 2017
March Board of Governors Meeting: Rulemaking Items for Consideration

FINRA’s Board of Governors will meet on March 8 in 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.

February 7, 2017
A Few Minutes With FINRA—Report on Distributed Ledger Technology: Implications of Blockchain for the Securities Industry
Haimera Workie, FINRA’s Senior Director for Emerging Regulatory Issues, leads viewers through FINRA’s report on the implications of distributed ledger technology—providing a definition of the technology, discussing how it is being used, and explaining key implementation and regulatory considerations for broker-dealers.
January 18, 2017
A Few Minutes With FINRA—Nine Risks That Inform FINRA’s Examination and Surveillance Program
Bill Wollman and Mike Rufino explain the nine risks that inform FINRA’s risk-based examination and surveillance program, and give examples of what staff looks for when assessing a firm’s risk. (19 min. 52 sec.)

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