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Governance

Updates from the December 2022 FINRA Board of Governors meeting.

FINRA’s Board of Governors met on December 14 and 15, and it approved FINRA’s 2023 budget and two rule proposals, and appointed new members to the National Adjudicatory Council and the Small Firm Advisory Committee.

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 13 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.