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 24, 2014
April 2014 Board Update Video
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's April 24 Board of Governors meeting.
February 13, 2014
February 2014 Board Update Video
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's February 13 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
February 13, 2014
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: BrokerCheck link in online retail communications with the public; definitions of public and non-public arbitrators; expungement of customer dispute information; and temporary cease and desist orders, expedited proceedings.
January 2, 2014
2014 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 6, 2013
December 2013 Board Update
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
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.
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 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 19, 2013
September 2013 Board Update
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to discuss rulemaking and other issues discussed at FINRA's September 19 Board of Governors meeting.
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).

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