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.

April 16, 2015
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: communications with the public, mark-up/mark-down rule application to US treasury securities, the municipal adviser exam fee, and the trading activity fee.
February 18, 2015
A Few Minutes With FINRA—2015 Regulatory and Examination Priorities Letter
Dan Sibears expands upon several key topics addressed in FINRA's 2015 Regulatory and Examination Priorities Letter. (14 min. 12 sec.)
February 12, 2015
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include the following: BrokerCheck disclosure, discretionary accounts and transactions, regulatory element continuing education, sales of securities on military installations, and TRACE transaction reporting and historic data sets.
January 6, 2015
2015 Regulatory and Examination Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
December 4, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: TRACE - public dissemination of additional securitized products and reduced reporting timeframe; TRACE - indicator when report does not reflect a commission, mark-up/down, or other fee; arbitration hearing cancellation fees; and qualification exam fees.
October 1, 2014
A Few Minutes With FINRA—IRA Rollovers Q&A
Tom Selman, FINRA’s Executive Vice President for Regulatory Policy, responds to questions FINRA has received from firms about IRA rollovers, the focus of FINRA Regulatory Notice 13-45, which was published in December 2013. (5 min. 32 sec.)
September 19, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: equity trading initiatives, ATS order book information, expansion of ATS transparency, trade sequencing, clock synchronization, oats non-member reporting, supervision of algorithmic trading strategies, registration of associated persons involved in the preparation of algorithmic strategies, fixed income quotation information, fixed income pricing disclosure, identification of transactions with affiliated entities in TRACE, gross income assessment methodology, recruitment practices, and securities trader and securities trader principal registration categories.
July 10, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: NMS Plan regarding minimum quoting and trading increments and TBA market - proposed amendments to FINRA Rule 4210 (Margin Requirements)
May 14, 2014
Small Firm Advisory Board Email to Small Firms
Topics of this email include: background checks; additional CRD data in BrokerCheck; and retrospective review of advertising, gifts and gratuities and non-cash compensation rules.
April 24, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: background investigations; customer account statements; panelist pool expansion for disciplinary hearings; and public repository of FINRA Form 211 information.

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