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.

August 18, 2011
SFAB Email to Small Firms
Since we last emailed you in March, the Small Firm Advisory Board (SFAB) has met twice to discuss FINRA rule proposals and raise your issues and concerns with FINRA senior executives. This is an update on how FINRA has responded to many of those issues.
July 15, 2011
Rulemaking Item Discussed at the July 2011 Meeting
Rulemaking topics discussed include: arbitration claims involving fair labor standards act, DPP/REIT account values, identifying information barriers in OATS, and representing customer interest.
April 18, 2011
Rulemaking Item Discussed at the April 2011 Meeting
Rulemaking topics discussed include: code of procedure, governmental accounting standards board support fee, mid-case arbitration referrals, MPIDs for market access arrangements, private placement of securities, qualification examination and continuing education fees, and trading activity fee rate adjustment.
March 16, 2011
SFAB Email to Small Firms
In November 2010, we [The Small Firm Advisory Board] solicited issues and topics of concern from small FINRA firms to inform us as to what issues we should discuss at our meetings and raise with FINRA staff. We're writing with an update on some of the topics you [Firm Executive Representative] raised.
February 8, 2011
2011 Regulatory and Examination Priorities Letter
February 4, 2011
Rulemaking Item Discussed at the February 2011 Meeting
Rulemaking topics discussed include: a study on enhancing investment adviser examinations, a study on investment advisers and broker-dealers, a concept proposal on client disclosure, third-party service providers.
December 9, 2010
Rulemaking Items Discussed at the December 2010 Meeting
Rulemaking topics discussed include: private placements, debt research conflicts of interest, short interest reporting, minimum quotation sizes, consolidated FINRA registration rules, and replies to responses to motions in arbitration.
September 28, 2010
Update: FINRA Board of Governors Meeting
Rulemaking items discussed at the September 2010 meeting include: arbitration, disclosure, statutory disqualifications, executive compensation, and regulatory proposal notification.
March 1, 2010
2010 Regulatory and Examination Priorities Letter
March 9, 2009
2009 Regulatory and Examination Priorities Letter

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