FINRA Board of Governors

Rulemaking Items for Discussion at the September 2012 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting. After the September 13 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.

 

Investor Use of BrokerCheck Information
The Board will consider proposed amendments to FINRA Rules 2267 (Investor Education and Protection) and 8312 (FINRA BrokerCheck Disclosure) to facilitate and increase investor use of BrokerCheck information.

 

Research Rules
The Board will consider amendments to the debt research conflicts of interest proposal based on comments to Regulatory Notice 12-09. The Board will also consider amendments to NASD Rule 2711 (Research Analysts and Research Reports) as a result of the JOBS Act.