FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates from the July 2019 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.
FINRA’s Board is composed of 24 industry and public members. Learn more about the current Board members, selection process and terms of service.
Learn more about the executives responsible for managing FINRA’s day-to-day operations.
The FINRA Board is authorized to appoint committees to facilitate and assist in the execution of the Board’s responsibilities.
FINRA has 15 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues.
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.
FINRA departments create specific subject-matter committees as needed to consult on various issues.
FINRA’s organizational documents—including the By-Laws and Certificate of Incorporation—are available in the FINRA Rulebook.