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Upcoming Board Meeting

From:

Robert W. Cook, FINRA President and CEO

To:

FINRA Member Firms

Date:

Monday, December 10, 2018

This week in New York, the FINRA Board of Governors will have its final meeting of the year. As is customary for each year’s December meeting, the Board’s discussions will include a review of FINRA’s accomplishments, as well as the organization’s budget for the year ahead. Highlighted below are some of the key items the Board committees will consider during the meeting.

  • The Regulatory Policy Committee will review several current rulemaking proposals, including:
    • a proposal to prohibit compensated non-attorney representatives in arbitrations and mediations; and
    • proposed changes to the Code of Arbitration Procedure codifying existing arbitrator expungement guidance.
  • The Regulatory Operations Oversight Committee will discuss FINRA’s use of machine learning, and will receive an update on the transformation of the examination and risk monitoring programs.
  • The Nominating and Governance Committee will discuss nominations and appointments for open National Adjudicatory Council (NAC) and Small Firm Advisory Committee (SFAC) seats. The committee will also conduct its annual review of FINRA’s standing committee charters and other governance documents.
  • The Finance, Operations and Technology Committee will review FINRA’s proposed 2019 budget.

More information regarding the Board’s operations, including the membership and responsibilities of its committees, is available on FINRA’s governance page at www.finra.org/governance.

I look forward to sharing an update about these discussions shortly after the meeting.

Sincerely,


Robert W. Cook
President and CEO