Communications to Firms

Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.

September 12, 2018
A Few Minutes with FINRA: Small Firm Advisory Committee
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Wendy Lanton, Chief Compliance Officer of Lantern Investments and Chair of the Small Firm Advisory Committee (SFAC), about the SFAC and the work it does on behalf of small firms. The discussion includes an overview of the committee structure, the 2018 SFAC election, and information on how small firms can get more involved and raise issues to be addressed. (17 min. 59 sec.)
July 25, 2018
July 2018 Board Update
Watch the video report featuring highlights of the July 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
July 16, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the third time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
June 6, 2018
A Few Minutes with FINRA: Exam Restructuring + the SIE Exam
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with John Kalohn, Vice President, Testing & Continuing Education, and Joe McDonald, Senior Director, Qualifications & Exams, about FINRA’s exam restructuring initiative. (10 min. 13 sec.)
May 17, 2018
May 2018 Board Update
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
May 17, 2018
Update: FINRA Board of Governors Meeting
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
May 7, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the first time in 2018. Read President and CEO Robert Cook’s email to firms previewing the agenda.
March 14, 2018
March 2018 Board Update
Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
March 14, 2018
March 7 – 8, 2018 Board Update – Video Report and Email to Firms
March 5, 2018
Upcoming Board Meeting
The FINRA Board of Governors meets this week for the first time in 2018. As is customary for each year’s first meeting, the Board’s will review FINRA’s corporate goals.

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