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Upcoming Board Meeting

From:

Robert W. Cook, FINRA President and CEO

To:

FINRA Member Firms

Date:

Tuesday, March 10, 2020

This week, the FINRA Board of Governors will hold its first meeting of 2020. Highlighted below are some of the key items the Board committees will consider during the March meeting.

  • The Finance, Operations and Technology Committee will:
    • continue discussions related to FINRA's long-term planning and financial sustainability;
    • discuss funding for the TRACE systems that support reporting of transactions in U.S. Treasury Securities
    • review a proposed allocation of 2019 fine monies to various capital initiatives in accordance with FINRA's Financial Guiding Principles; and
    • discuss the system changes required to comply with FINRA's regulatory obligations as an SRO with the development of CAT, such as integration of CAT data into FINRA's existing surveillance patterns and applications.
        
  • The Nominating and Governance Committee will discuss 2020 Governor vacancies and upcoming large- and small-firm Governor 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