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.

March 13, 2012
SFAB Email to Small Firms
The following FINRA initiatives and requests for comments may be of interest to you: risk control assessment, free resources, debt research analyst conflicts of interest, and BrokerCheck.
February 17, 2012
Rulemaking Items Discussed at the February 2012 Meeting
Rulemaking topics discussed include: agency pass-through mortgage-backed securities and securities backed by Small Business Administration transactions, deferred compensation arrangements and filing exemption for ETF offerings, margin requirements for credit default swaps, and spinning.
January 31, 2012
2012 Regulatory and Examination Priorities Letter
December 9, 2011
Rulemaking Items Discussed at the December 2011 Meeting
Rulemaking topics discussed include: debt research conflicts of interest, expungement for persons not named as parties in arbitration claims, fee adjustment proposals, mediator selection, optional TRACE data delivery services and related fees, subpoenas and orders of production in arbitrations, and threshold for simplified arbitration.
September 23, 2011
Rulemaking Items Discussed at the September 2011 Meeting
Rulemaking topics discussed include: arbitration procedures: whistleblower claims, publicly disseminate transactions in agency pass-through mortgage-backed securities traded "to be announced" (TBA), maintenance of certain records in a central location, and membership application forms.
August 18, 2011
SFAB Email to Small Firms
Since we last emailed you in March, the Small Firm Advisory Board (SFAB) has met twice to discuss FINRA rule proposals and raise your issues and concerns with FINRA senior executives. This is an update on how FINRA has responded to many of those issues.
July 15, 2011
Rulemaking Item Discussed at the July 2011 Meeting
Rulemaking topics discussed include: arbitration claims involving fair labor standards act, DPP/REIT account values, identifying information barriers in OATS, and representing customer interest.
April 18, 2011
Rulemaking Item Discussed at the April 2011 Meeting
Rulemaking topics discussed include: code of procedure, governmental accounting standards board support fee, mid-case arbitration referrals, MPIDs for market access arrangements, private placement of securities, qualification examination and continuing education fees, and trading activity fee rate adjustment.
March 16, 2011
SFAB Email to Small Firms
In November 2010, we [The Small Firm Advisory Board] solicited issues and topics of concern from small FINRA firms to inform us as to what issues we should discuss at our meetings and raise with FINRA staff. We're writing with an update on some of the topics you [Firm Executive Representative] raised.
February 8, 2011
2011 Regulatory and Examination Priorities Letter

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