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 7, 2012
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: conflicts of interest relating to recruitment compensation practices, equity trade reporting requirements, expungement for unnamed persons in arbitration claims, FOCUS report supplementary schedule, Interim Form for Funding Portals Under the JOBS Act, and wash sales.
October 22, 2012
SFAB Email to Small Firms
The following is a summary of some recent activity at FINRA that we think will be of interest to you: debt research analyst conflicts of interest, BrokerCheck, supplemental statement of income (SSOI), best practices/common findings, free access to 2012 FINRA annual conference panels, SEC rule interpretation, and Continuing Member Application (CMA) fees.
September 14, 2012
Rulemaking Items Discussed at the September 2012 Meeting
Rulemaking topics discussed include: investor use of BrokerCheck information and research rules.
July 13, 2012
Rulemaking Items Discussed at the July 2012 Meeting
Rulemaking topics discussed include: application of proposed markup rules to government securities, classification of mediators under dispute resolution by-laws, debt research conflicts of interest, minor rule violation plan, records to be kept at specially designated locations, release of disciplinary complaints, decisions and other information, reporting requirements, and TRACE factor reporting.
April 23, 2012
Rulemaking Items Discussed at the April 2012 Meeting
Rulemaking topics discussed include: FOCUS report supplementary schedule, markups, commissions and fees, OATS reporting of certain market-making and customer facilitation orders, OCC cleared OTC options and related amendments, "public" arbitrator definition, pricing proposals, and stop orders.
March 13, 2012
SFAB Email to Small Firms
The following FINRA initiatives and requests for comments may be of interest to you: risk control assessment, free resources, debt research analyst conflicts of interest, and BrokerCheck.
February 17, 2012
Rulemaking Items Discussed at the February 2012 Meeting
Rulemaking topics discussed include: agency pass-through mortgage-backed securities and securities backed by Small Business Administration transactions, deferred compensation arrangements and filing exemption for ETF offerings, margin requirements for credit default swaps, and spinning.
January 31, 2012
2012 Regulatory and Examination Priorities Letter
December 9, 2011
Rulemaking Items Discussed at the December 2011 Meeting
Rulemaking topics discussed include: debt research conflicts of interest, expungement for persons not named as parties in arbitration claims, fee adjustment proposals, mediator selection, optional TRACE data delivery services and related fees, subpoenas and orders of production in arbitrations, and threshold for simplified arbitration.
September 23, 2011
Rulemaking Items Discussed at the September 2011 Meeting
Rulemaking topics discussed include: arbitration procedures: whistleblower claims, publicly disseminate transactions in agency pass-through mortgage-backed securities traded "to be announced" (TBA), maintenance of certain records in a central location, and membership application forms.

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