Vote to Elect FINRA Board Governors

August 06, 2025

Features

  • Vote to Elect FINRA Board Governors 
    The 2025 Annual Meeting of FINRA member firms will take place on Aug. 18 to elect one small firm and one large firm representative on the FINRA Board of Governors. These Governors play a crucial role in providing the industry’s perspective on important issues before the Board, and we encourage member firms to cast their vote before the conclusion of the election on Aug. 18 at 9 a.m. ET. Details on how to vote and information about the candidates are included in the Notice FINRA published on July 18. Firms eligible to vote should have also received an email from FINRA’s Election Agent ([email protected]) containing specific voting instructions. 
     
  • New Podcast: National Financial Capability Study 
    The latest episode of the FINRA Unscripted podcast features a conversation with FINRA Investor Education Foundation researchers on their recently published sixth wave of the National Financial Capability Study, an expansive source of data and insights about the financial lives of U.S. adults that has been conducted every three years since 2009. They discuss the findings, including an overall pattern of decline in U.S. adults’ ability to make ends meet and save for emergencies, in contrast to the broadly positive trends seen from 2009 through 2021. The episode also dives into new topics including inflation and artificial intelligence, as well as how to utilize the data, which is gleaned from more than 25,500 U.S. adults across all 50 states and Washington D.C. The findings can be reported at both the state and national levels. 
     
  • Investor Insights on Non-Traditional Indexes and More 
    Firms are welcome to share with customers FINRA’s Investor Insights articles. Recently published pieces include:
Regulatory Information, Upcoming Deadlines, Effective Dates
New
  • No new guidance, upcoming deadlines or effective dates have been announced since the last edition of the Weekly Update.
Reminders
  • CRCP Small Firm Scholarship: FINRA is offering five scholarships to industry professionals from small firms to attend the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)® program. Applications due by Aug. 25. 
     
  • FinCEN Money Laundering Alert: FinCEN updated its June 25 orders prohibiting covered financial institutions from transmitting funds from three Mexico-based entities—CIBanco S.A., Intercam Banco S.A., and Vector Casa de Bolsa, S.A. de C.V. Firms now have until Sept. 4 to implement the orders. 
     
  • The Modern Workplace: Regulatory Notice 25-07 requested comment on further evolving FINRA’s rules, guidance, and processes to reflect modern business practices and markets; support innovation; promote efficiency; and eliminate unnecessary regulatory burdens. The comment period has closed, but we still welcome feedback. 
     
  • Rule Modernization: Regulatory Notice 25-04 requested comment in connection with a broad review of FINRA’s regulatory requirements applicable to member firms and associated persons. The comment period has closed, but we still welcome feedback. 
     
  • Capital Formation: Regulatory Notice 25-06 requested comment on modernizing FINRA rules, guidance, and processes to further facilitate capital formation and reduce unnecessary regulatory costs and burdens impacting the capital raising process. The comment period has closed, but we still welcome feedback.
Disciplinary Actions
FINRA publishes disciplinary actions to remind members of specific conduct that violates FINRA rules and may result in disciplinary action. The July 2025 Monthly Disciplinary Actions are available here.
Education and Compliance Programs
Registration Systems Foundation | Aug. 19-20 and Oct. 28-29 | Virtual Event | Sold Out

Registration Systems Foundation | Sept. 16 | Rockville, MD | In-Person Event  

Disclosure Reporting Boot Camp | Sept. 17-18 | Rockville, MD | In-Person Event

Cyber Tabletop Exercise | Oct. 8 | Dallas, TX | In-Person Event  

Senior Investor Financial Exploitation Case Study Workshop | Oct. 8 | Dallas, TX | In-Person Event  

Small Firm Conference | Oct. 9-10 | Dallas, TX | Hybrid Event

Cyber Tabletop Exercise | Oct. 27 | Santa Monica, CA | In-Person Event  

Elder Cyber Fraud Case Study Workshop | Oct. 27 | Santa Monica, CA | In-Person Event  

Cyber Crimes Conference | Oct. 28 | Santa Monica, CA | Hybrid Event

Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals | Hosted by FINRA, the SEC and the MSRB | Nov. 18-19 | Virtual Event
Resources
Member Firm Hub – Latest guidance, resources, educational opportunities and more.

Comment Process – On-demand webinar on how to provide comments on FINRA Forward proposals, as well as the impact of comment letters and how they are used.

Involvement and Election Process – How to engage with FINRA to help carry out our mission of protecting investors and safeguarding market integrity. Members can contribute their unique perspectives and skillsets with rotating terms on FINRA committees and other opportunities. Submit an indication of interest to be considered to join a FINRA advisory committee or speak at a FINRA event by clicking here.

Membership Application Program (MAP) Tools – Guidance and other resources to help current members prepare for their continuing membership application (CMA) and new applicants prepare for a new member application (NMA).

FINRA Unscripted – Monthly podcast on a range of topics important to FINRA members and other stakeholders.
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About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business with the public in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
Regulatory Contacts
FINRA By-Laws require member firms to maintain an email account on behalf of their executive representatives, to facilitate firm notification of important information. In light of this, requests from executive representatives to be removed from this email list cannot be honored.
 
Firms wishing to change the name or email address of their executive representative or designated assistant should use the FINRA Contact System: http://www.finra.org/FCS.
 
Subscribers
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