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September 2022 Board Meeting

This week, the FINRA Board of Governors is holding its fourth meeting of the year—the first with Eric Noll as Chair. Highlighted below are several items the Board committees will consider during the meeting.

  • The Regulatory Policy Committee will:
    • review amendments to the Codes of Arbitration Procedure to make various clarifying and technical changes; and
    • review amendments to increase certain arbitration and mediation forum fees and arbitrator honoraria.
  • The Regulatory Oversight Committee will receive an update on FINRA’s regulatory operations.
  • The Finance, Operations and Technology Committee will:
    • discuss initial planning for FINRA’s 2023 budget; and
    • receive an update on the Consolidated Audit Trail.
  • The Nominating and Governance Committee will receive an update on FINRA elections, including a special election to fill a large-firm Governor vacancy on the Board, and upcoming National Adjudicatory Council, Small Firm Advisory Committee and Regional Committee elections.

More information regarding the Board’s operations, including the membership and responsibilities of its committees, is available on FINRA’s governance page at www.finra.org/governance

I look forward to sharing an update about these discussions shortly after the meeting.

Sincerely,

Robert W. Cook 
President and CEO