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.

July 10, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: NMS Plan regarding minimum quoting and trading increments and TBA market - proposed amendments to FINRA Rule 4210 (Margin Requirements)
May 14, 2014
Small Firm Advisory Board Email to Small Firms
Topics of this email include: background checks; additional CRD data in BrokerCheck; and retrospective review of advertising, gifts and gratuities and non-cash compensation rules.
April 24, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: background investigations; customer account statements; panelist pool expansion for disciplinary hearings; and public repository of FINRA Form 211 information.
February 13, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: BrokerCheck link in online retail communications with the public; definitions of public and non-public arbitrators; expungement of customer dispute information; and temporary cease and desist orders, expedited proceedings.
January 2, 2014
2014 Regulatory and Examination Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
December 6, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: arbitration fees to increase arbitrator honoraria, personal confidential information documents parties file with dispute resolution, funding portal fees, limited corporate financing brokers rule set, OTC reporting facility fees, quotation activities in unlisted securities, rate reimbursement provisions for proxy and other issuer-related materials, and TBA market margin requirements.
December 3, 2013
SFAB Email to Small Firms
This has been an exciting and productive year for the Small Firm Advisory Board. As the outgoing chair, I wanted to brief you on some of the issues that we confronted, evaluated and commented on over the last year.
October 22, 2013
A Few Minutes With FINRA—Conflicts of Interest
Rick Ketchum, FINRA’s Chairman and CEO, provides background information on FINRA’s recent Report on Conflicts of Interest and discusses what firms should be thinking about with respect to managing conflicts. (8 min. 3 sec.)
September 23, 2013
A Few Minutes With FINRA—Framework for Economic Impact Assessment
FINRA's Chief Economist Jonathan Sokobin discusses his office's role at FINRA, the importance of economic analysis and industry input to the rulemaking process, and FINRA's plans for the retrospective rule review. (9 min. 2 sec.)
September 19, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: Alternative Display Facility, Alternative Trading System (ATS) aggregate volume data fee, disclosures related to recruitment practices and account transfers, and equity trade reporting.

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