Upcoming September Meeting
September 28, 2026
The FINRA Board of Governors is holding its third quarterly meeting of the year this week. The following proposals are among the items it will consider:
- to amend rules governing FINRA’s review of new and continuing membership applications to better focus on risk;
- to make the annual CEO compliance and supervisory processes certification deadline more flexible;
- to rescind the Same Quote Rule requiring members to display the same price for any over-the-counter equity security that they quote across multiple platforms; and
- to repeal the requirement that members ensure mutual fund cash compensation arrangements are disclosed in a fund prospectus.
The Board will also receive a number of briefings on key initiatives, including updates regarding FINRA’s market oversight program, our AI strategy, and steps we are taking to address recommendations from the recent outside review of our enforcement program. In addition, the Board will review FINRA's financial performance and projections.
More information regarding the Board’s operations, including the membership and responsibilities of its committees, is available on FINRA’s governance page. I look forward to sharing an update about our discussions shortly after the meeting.
Sincerely,
Robert W. Cook
FINRA President and CEO