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 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
February 4, 2011
Rulemaking Item Discussed at the February 2011 Meeting
Rulemaking topics discussed include: a study on enhancing investment adviser examinations, a study on investment advisers and broker-dealers, a concept proposal on client disclosure, third-party service providers.
December 9, 2010
Rulemaking Items Discussed at the December 2010 Meeting
Rulemaking topics discussed include: private placements, debt research conflicts of interest, short interest reporting, minimum quotation sizes, consolidated FINRA registration rules, and replies to responses to motions in arbitration.
September 28, 2010
Update: FINRA Board of Governors Meeting
Rulemaking items discussed at the September 2010 meeting include: arbitration, disclosure, statutory disqualifications, executive compensation, and regulatory proposal notification.
March 1, 2010
2010 Regulatory and Examination Priorities Letter
March 9, 2009
2009 Regulatory and Examination Priorities Letter
March 24, 2008
2008 Regulatory and Examination Priorities Letter
February 13, 2007
2007 Regulatory and Examination Priorities Letter
May 17, 2006
2006 Regulatory and Examination Priorities Letter

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