Communications to Firms

From FINRA Chairman and CEO

From Other FINRA Executives

FINRA Board of Governors

Annual Regulatory and Examination Priorities Letters

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.

A Few Minutes With FINRA

Brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.

From Small Firm Advisory Board (SFAB)