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Governance

Updates from the May 2021 FINRA Board of Governors meeting.

FINRA’s Board of Governors met on May 18 and 19, when it approved FINRA’s 2020 Annual Financial Report, approved a proposal to adopt term limits for members of FINRA’s advisory committees, and approved a proposal to reallocate the fees for Regulatory Element continuing education.

Board of Governors

FINRA’s Board is composed of 23 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.

    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 12 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.

     

    Governance Documents

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