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 14, 2019
May 2019 Board Update
FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates from the May 2019 FINRA Board of Governors meeting.
May 14, 2019
Update: FINRA Board of Governors Meeting
Read President and CEO Robert Cook’s post-meeting email to firms highlighting the May 2019 FINRA Board of Governors meeting.
May 3, 2019
Upcoming Board Meeting
The FINRA Board of Governors will meet in New York for its second meeting of the year. Read President and CEO Robert Cook’s email to firms previewing the agenda.
March 13, 2019
February/March 2019 Board Update
FINRA CEO Robert Cook, Board members and FINRA staff provide updates from the February/March 2019 FINRA Board of Governors meeting.
March 13, 2019
Update: FINRA Board of Governors Meeting
FINRA CEO Robert Cook, Board members and FINRA staff provide updates from the February/March 2019 FINRA Board of Governors meeting.
February 27, 2019
529 Plan Share Class Initiative - Frequently Asked Questions
In a follow up to a recent episode of A Few Minutes With FINRA, FINRA Executive Vice President of Enforcement Susan Schroeder answers questions FINRA has received from firms in response to its 529 Plan Share Class Initiative. (11 min. 58 sec.)
February 26, 2019
Upcoming Board Meeting
The FINRA Board of Governors meets this week in Boca Raton, FL. Read President and CEO Robert Cook’s email to firms previewing the agenda.
January 28, 2019
529 Plan Share Class Initiative
Chip Jones and Susan Schroeder discuss the 529 Plan Share Class Initiative. Under the program, firms can self-report to FINRA by April 1, 2019, supervisory violations related to 529 plan share-class recommendations and include a plan to remediate the issue; and in response, FINRA Enforcement will recommend that FINRA accept a settlement that includes restitution for the impact on affected customers and a censure, but no fine. (7 min. 33 sec.)
January 22, 2019
2019 Annual Risk Monitoring and Examination Priorities Letter
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
December 21, 2018
December 2018 Board Update
Watch the video report featuring highlights from the December 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.

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