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Governance

Updates from the September 2021 FINRA Board of Governors meeting.

FINRA’s Board of Governors met on September 23 and 24, and approved a proposal to establish a modest fee for individuals who choose to complete continuing education (CE) to remain qualified for up to five years following the termination of the individual’s registration. The Board also approved two rulemaking items and reaffirmed FINRA’s Financial Guiding Principles.

Board of Governors

FINRA’s Board is composed of 22 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.