July Board of Governors Meeting: Rulemaking Items for Consideration

Posted: July 12, 2017

FINRA's Board of Governors will meet on July 18 in Boston and will consider the following rulemaking items. After the meeting, FINRA will notify firms via email about the Board's actions and anticipated next steps, if any.

Broker Conduct

The Board will consider proposals to further address the issue of high-risk brokers and the firms that employ them.

Unpaid Arbitration Awards 

The Board will consider proposed amendments to FINRA’s Membership Application Program rules regarding payment of arbitration awards by firms and individual brokers.