Special Notice – 2/1/18

2018 Involvement and Election Process Overview

Summary

FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360 initiative, FINRA issued a Special Notice requesting feedback on certain of its engagement programs (Engagement Notice). Since that time, FINRA has been processing the feedback received on the Engagement Notice, making changes to its programs and implementing various recommendations in response to that feedback, where appropriate. These changes include issuing this Special Notice, FINRA’s first annual Involvement Notice.

FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to (i) encourage member firms and other interested parties to become involved, (ii) provide information regarding the process for filling vacancies on various FINRA advisory and ad hoc committees, as well as the National Adjudicatory Council (NAC), the FINRA Board of Governors (FINRA Board) and the FINRA Investor Education Foundation Board of Directors (Foundation Board) and (iii) announce a new online portal to make it easier for interested individuals to get involved.

The Notice also provides information on a proposed reorganization of our District Committees, which is also responsive to feedback received on the 2017 Engagement Notice and feedback received during President & CEO Robert Cook’s listening tour.

Questions concerning this Special Notice may be directed to:

  • Jennifer Mitchell, Vice President and Deputy Corporate Secretary, at (202) 728-8949; or
  • Chip Jones, Senior Vice President, Member Relations and Education, at (240) 386-4797.