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.

March 5, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the first time in 2018. As is customary for each year’s first meeting, the Board’s will review FINRA’s corporate goals.
January 25, 2018
Small Firm Advisory Board Email: 2017 Year in Review
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
January 10, 2018
A Few Minutes with FINRA: High-Risk Brokers
Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice, talks about FINRA’s High-Risk Registered Representative Program. The discussion includes an overview of the program, the criteria FINRA uses to identify high-risk activity, and tools and resources that are available to help firms perform their own reviews. (8 min. 45 sec.)
January 8, 2018
2018 Regulatory and Examination Priorities Letter
December 20, 2017
December 2017 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the December 2017 FINRA Board of Governors meeting, including discussions around FINRA’s finances and financial transparency, 2017 accomplishments, enterprise risk management and more.
December 20, 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 Governors meeting.
December 11, 2017
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the final time in 2017. As is customary for each year’s December meeting, the Board’s discussions will review 2017 accomplishments and FINRA’s 2018 goals and budget.
September 29, 2017
September 2017 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
September 29, 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.
September 25, 2017
Upcoming Board Meeting and FINRA360 Update
Read FINRA President and CEO Robert Cook’s email to firms, which provides updates on FINRA360 and the Special Notice on Engagement, and includes a preview of discussions to take place at the September 2017 Board of Governors meeting.

Pages