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Upcoming Board Meeting

From:

Robert W. Cook, FINRA President and CEO

To:

FINRA Member Firms

Date:

Tuesday, September 8, 2020

This week, the FINRA Board of Governors will meet virtually for its September 2020 meeting—the first Board meeting since Eileen Murray assumed the role of Chairperson last month, and the first for newly elected Governor Wendy Lanton and recently appointed Governors Maureen Jensen and Eric Noll. Highlighted below are some of the key items the Board committees will consider.

  • The Regulatory Policy Committee will discuss two rulemaking items:
    • proposed amendments to FINRA Rule 2165 (Financial Exploitation of Specified Adults); and
    • proposed amendments to permit the use of electronic signatures on Uniform Applications for Securities Industry Registration or Transfer (Forms U4).
       
  • The Regulatory Operations Oversight Committee will receive updates on:
    • FINRA’s Examination and Risk Monitoring Program Transformation; and
    • FINRA’s Market Regulation Enforcement program.

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