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.

December 6, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: arbitration fees to increase arbitrator honoraria, personal confidential information documents parties file with dispute resolution, funding portal fees, limited corporate financing brokers rule set, OTC reporting facility fees, quotation activities in unlisted securities, rate reimbursement provisions for proxy and other issuer-related materials, and TBA market margin requirements.
December 3, 2013
SFAB Email to Small Firms
This has been an exciting and productive year for the Small Firm Advisory Board. As the outgoing chair, I wanted to brief you on some of the issues that we confronted, evaluated and commented on over the last year.
October 22, 2013
A Few Minutes With FINRA—Conflicts of Interest
Rick Ketchum, FINRA’s Chairman and CEO, provides background information on FINRA’s recent Report on Conflicts of Interest and discusses what firms should be thinking about with respect to managing conflicts. (8 min. 3 sec.)
September 23, 2013
A Few Minutes With FINRA—Framework for Economic Impact Assessment
FINRA's Chief Economist Jonathan Sokobin discusses his office's role at FINRA, the importance of economic analysis and industry input to the rulemaking process, and FINRA's plans for the retrospective rule review. (9 min. 2 sec.)
September 19, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: Alternative Display Facility, Alternative Trading System (ATS) aggregate volume data fee, disclosures related to recruitment practices and account transfers, and equity trade reporting.
September 18, 2013
A Few Minutes With FINRA—FINRA Examination Program Update
FINRA's Executive Vice President of Regulatory Operations Susan Axelrod provides an update on FINRA's examination program, including a newly implemented process for submitting examination-related documents through the Firm Gateway. (8 min. 11 sec.)
August 22, 2013
Upcoming Changes to FINRA Examinations
By now, you've heard us talk often about the shift in our examination program to one that's more risk-based. Today, I am writing with an update on the most recent changes and what it means for your firm's next FINRA onsite cycle examination.
July 11, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: ATS reporting and transparency, BrokerCheck, debt research, dissemination of additional asset-backed securities transactions, funding portal rules, and Uniform Branch Office Registration form (Form BR).
July 3, 2013
A Few Minutes With FINRA—Board of Governors Election Process
Marcia Asquith, FINRA's Corporate Secretary, answers common questions about FINRA's Board of Governors elections, including where firms can find information about candidates and how to vote. (8 min. 27 sec.)
June 11, 2013
A Few Minutes With FINRA—FINRA Rulemaking Updates
Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers. (9 min. 4 sec.)