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.

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.
December 20, 2018
A Few Minutes With FINRA: Report on Selected Cybersecurity Practices – 2018
FINRA’s Senior Vice President of Member Relations and Education Chip Jones, leads a discussion with Chief Information Security Officer John Brady, Senior Director Steve Polansky and Kansas City Surveillance Director Dave Kelley, on FINRA’s 2018 report on selected cybersecurity practices. The discussion includes an overview of the report, which highlights effective practices in five challenging areas that firms should consider to strengthen and further develop their cybersecurity programs—as well as core cybersecurity controls for small firms. (30 min. 17 sec.)
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 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.

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