Letters from FINRA Executives

October 14, 2013
2013 Report on Conflicts of Interest
In July 2012, FINRA initiated a dialogue with firms to better understand the conflicts of interest they face and the practices they use to manage those conflicts. This report discusses effective conflicts management practices that FINRA identified through this dialogue with firms.
August 22, 2013
Upcoming Changes to FINRA Examinations
By now, you've heard us talk often about the shift in our examination program to one that's more risk-based. Today, I am writing with an update on the most recent changes and what it means for your firm's next FINRA onsite cycle examination.
March 18, 2013
A Message About FINRA's Exam Program
A message from EVP Susan Axelrod regarding FINRA's sales practice examination program
August 13, 2010
Final Results: FINRA Annual Meeting
August 13, 2010 Update from Richard Ketchum and Richard Brueckner on the FINRA Annual Meeting