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FINRA Governance and Transparency


In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding the governance and transparency of the Board of Governors. These comments stated a desire for more public information regarding the Board's composition and activities. After careful review of the comments and suggestions received, FINRA took a number of actions to make more information available on its website.

"Meaningful conversation with member firms to leverage their expertise and hear their perspective on critical issues is a key part of any successful self-regulatory organization."

— Marcia E. Asquith, FINRA Executive Vice President of Board and External Relations, FINRA News Release, November 15, 2017

Summary of Actions

  • Enhanced the information provided surrounding Board meetings by providing more detailed pre- and post-board meeting notifications.
  • Refreshed the format of the post-meeting video update to include more direct Board participation.
  • Began issuing detailed post-Board meeting press releases to increase transparency.
  • Launched a new Governance page on, which includes more detailed background information on the FINRA Board, its governors and standing committees, as well as information on the FINRA Board member selection process.
  • Updated the organizational chart on to better show the reporting structure at the top levels of the organization.