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.

May 8, 2013
A Few Minutes With FINRA—Regulatory Operations Overview
Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, discusses her responsibilities and priorities in this new role, and provides an update on the 2013 Risk Control Assessment. (7 min. 56 sec.)
April 18, 2013
Update: FINRA Board of Governors Meeting

Rulemaking topics discussed include the following:

  • Dissemination of TRACE-Eligible Rule 144A Transactions
  • ADF Market Participant Requirements
  • Arbitration Panel Composition
  • Discovery Guide Used in Investor Arbitration Proceedings
  • Customer Account Statements
March 18, 2013
A Message About FINRA's Exam Program
A message from EVP Susan Axelrod regarding FINRA's sales practice examination program
February 14, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: corporate financing, margin requirements for security-based equity swaps, membership rules, and private placement filings.
January 11, 2013
2013 Regulatory and Examination Priorities Letter
December 7, 2012
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: conflicts of interest relating to recruitment compensation practices, equity trade reporting requirements, expungement for unnamed persons in arbitration claims, FOCUS report supplementary schedule, Interim Form for Funding Portals Under the JOBS Act, and wash sales.
October 22, 2012
SFAB Email to Small Firms
The following is a summary of some recent activity at FINRA that we think will be of interest to you: debt research analyst conflicts of interest, BrokerCheck, supplemental statement of income (SSOI), best practices/common findings, free access to 2012 FINRA annual conference panels, SEC rule interpretation, and Continuing Member Application (CMA) fees.
September 14, 2012
Rulemaking Items Discussed at the September 2012 Meeting
Rulemaking topics discussed include: investor use of BrokerCheck information and research rules.
July 13, 2012
Rulemaking Items Discussed at the July 2012 Meeting
Rulemaking topics discussed include: application of proposed markup rules to government securities, classification of mediators under dispute resolution by-laws, debt research conflicts of interest, minor rule violation plan, records to be kept at specially designated locations, release of disciplinary complaints, decisions and other information, reporting requirements, and TRACE factor reporting.
April 23, 2012
Rulemaking Items Discussed at the April 2012 Meeting
Rulemaking topics discussed include: FOCUS report supplementary schedule, markups, commissions and fees, OATS reporting of certain market-making and customer facilitation orders, OCC cleared OTC options and related amendments, "public" arbitrator definition, pricing proposals, and stop orders.

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