Governance

FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates from the December 2018 FINRA Board of Governors meeting.

The FINRA Board of Governors, the governing body of the corporation, oversees management in the administration of FINRA’s affairs and the promotion of FINRA’s welfare, objectives and purposes. The information below provides additional information on FINRA’s Board, management and governance. 

Board of Governors

FINRA’s Board is composed of 24 industry and public members. Learn more about the current Board members, selection process and terms of service.

FINRA Executives

Learn more about the executives responsible for managing FINRA’s day-to-day operations.

Governance Documents

FINRA’s organizational documents—including the By-Laws and Certificate of Incorporation—are available in the FINRA Rulebook.

Standing Committees

The FINRA Board is authorized to appoint committees to facilitate and assist in the execution of the Board’s responsibilities.

Advisory Committees

FINRA has 15 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. 

Regional Committees

FINRA has 5 Regional committees that advise FINRA on industry trends of regulatory concern and provide input on the impact of FINRA’s regulatory programs.

Ad Hoc Committees

FINRA departments create specific subject-matter committees as needed to consult on various issues.