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Upcoming Board Meeting

From:

Robert W. Cook, FINRA President and CEO

To:

FINRA Member Firms

Date:

Tuesday, May 10, 2022

This week, the FINRA Board of Governors is meeting for the second time this year. Highlighted below are several items the Board committees will consider.

  • The Regulatory Policy Committee will:
    • review proposed amendments to reduce the syndicate account settlement timeframe for corporate debt offerings; and
    • review proposed amendments relating to dissemination of aggregated TRACE data for Treasury securities.
  • The Regulatory Oversight Committee will:
  • The Finance, Operations and Technology Committee will receive several updates related to the Consolidated Audit Trail.
  • The Audit Committee will review a draft of FINRA’s 2021 Annual Financial Report.
  • The Nominating and Governance Committee will:
    • review candidates for public Governor vacancies on the Board;
    • discuss potential small and large firm Governor nominations and a small firm National Adjudicatory Counsel nomination for upcoming FINRA elections; and
    • appoint new members to FINRA Advisory Committees.

In addition, the FINRA Board will receive an update on FINRA’s advanced analytics strategic initiative that was announced in March 2021.

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