September 2023 Board Meeting

The FINRA Board of Governors is meeting this week. This is the Board’s first meeting with new Governor Scott Curtis, President of Raymond James Financial’s Private Client Group, who was recently elected by large FINRA firms as Large-Firm Governor. Following are several items the Board committees will consider during the September meeting.

• The Regulatory Policy Committee will review a rule proposal related to over-the-counter options trade reporting for regulatory purposes.
• The Finance, Operations and Technology Committee will:
  • conduct its biennial review of FINRA’s Financial Guiding Principles; and
  • receive an update on the Consolidated Audit Trail.
• The Regulatory Oversight Committee will:
  • receive several updates on FINRA’s regulatory operations; and
  • meet with Bill St. Louis, who was recently appointed as Head of Enforcement.

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
FINRA CEO