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.

September 19, 2013
September 2013 Board Update
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's September 19 Board of Governors meeting.
July 11, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: ATS reporting and transparency, BrokerCheck, debt research, dissemination of additional asset-backed securities transactions, funding portal rules, and Uniform Branch Office Registration form (Form BR).
July 11, 2013
July 2013 Board Update
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking actions and other issues discussed at FINRA’s July 11 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
June 11, 2013
A Few Minutes with FINRA: FINRA Rulemaking Updates
Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers. (9 min. 4 sec.)
April 18, 2013
Update: FINRA Board of Governors Meeting

Rulemaking topics discussed include the following:

  • Dissemination of TRACE-Eligible Rule 144A Transactions
  • ADF Market Participant Requirements
  • Arbitration Panel Composition
  • Discovery Guide Used in Investor Arbitration Proceedings
  • Customer Account Statements
February 14, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: corporate financing, margin requirements for security-based equity swaps, membership rules, and private placement filings.
January 11, 2013
2013 Regulatory and Examination Priorities Letter
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.
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.

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