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.

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.
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.)

Pages