A Few Minutes With FINRA

Brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.

BrokerCheck Rule 2210
Joe Savage, FINRA Vice President and Counsel – Regulatory Policy, expands upon FINRA Regulatory Notice 15-50, which describes FINRA Rule 2210 requiring firms to include a link to BrokerCheck on their website. He also provides details on several optional BrokerCheck-related tools and resources.
2016 Regulatory and Examination Priorities Letter
Dan Sibears, FINRA's Executive Vice President of Regulatory Operations - Shared Services, provides further information on several key issues that are included in FINRA's 2016 Annual Regulatory and Examination Priorities Letter.
2015 Regulatory and Examination Priorities Letter
Dan Sibears expands upon several key topics addressed in FINRA's 2015 Regulatory and Examination Priorities Letter. (14 min. 12 sec.)
IRA Rollovers Q&A
Tom Selman, FINRA’s Executive Vice President for Regulatory Policy, responds to questions FINRA has received from firms about IRA rollovers, the focus of FINRA Regulatory Notice 13-45, which was published in December 2013. (5 min. 32 sec.)
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.)
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.)
FINRA Examination Program Update
FINRA's Executive Vice President of Regulatory Operations Susan Axelrod provides an update on FINRA's examination program, including a newly implemented process for submitting examination-related documents through the Firm Gateway. (8 min. 11 sec.)
Board of Governors Election Process
Marcia Asquith, FINRA's Corporate Secretary, answers common questions about FINRA's Board of Governors elections, including where firms can find information about candidates and how to vote. (8 min. 27 sec.)
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.)
Regulatory Operations Overview
Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, discusses her responsibilities and priorities in this new role, and provides an update on the 2013 Risk Control Assessment. (7 min. 56 sec.)