Small Firm Advisory Board Updates

May 14, 2014
Small Firm Advisory Board Email to Small Firms
Topics of this email include: background checks; additional CRD data in BrokerCheck; and retrospective review of advertising, gifts and gratuities and non-cash compensation rules.
December 3, 2013
SFAB Email to Small Firms
This has been an exciting and productive year for the Small Firm Advisory Board. As the outgoing chair, I wanted to brief you on some of the issues that we confronted, evaluated and commented on over the last year.
October 22, 2012
SFAB Email to Small Firms
The following is a summary of some recent activity at FINRA that we think will be of interest to you: debt research analyst conflicts of interest, BrokerCheck, supplemental statement of income (SSOI), best practices/common findings, free access to 2012 FINRA annual conference panels, SEC rule interpretation, and Continuing Member Application (CMA) fees.
March 13, 2012
SFAB Email to Small Firms
The following FINRA initiatives and requests for comments may be of interest to you: risk control assessment, free resources, debt research analyst conflicts of interest, and BrokerCheck.
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.
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.