Communications to Firms

Following are communications sent to FINRA member firms.

Communications From FINRA Chief Executive Officer

 

• October 8, 2008 – update on FINRA’s actions in response to recent market events  
• May 14, 2008 – update on progress with development of the FINRA Rulebook  
• February 13, 2008 – update on the progress of our ongoing integration and other activities at FINRA.

 

Examination Priorities

 

• March 9, 2009 – 2009 examination priorities.
• March 24, 2008 – 2008 examination priorities.

 

Communications from the Small Firm Advisory Board (SFAB)

 

• October 16, 2009 – SFAB Update
• February 9, 2009 – SFAB Update
• July 31, 2008 – FINRA Certified Regulatory and Compliance Professional Scholarship Program
• April 16, 2008 – Regulation S-P 

 

Other

 

• February 24, 2009 – Richard G. Ketchum Named FINRA's Chief Executive Officer
• January 23, 2009 – Schapiro Confirmed by Senate; Luparello Named Interim CEO
• September 15, 2008 – FINRA Advises Investors on How to Safeguard Their Brokerage Accounts  

 

• Communications to Firms Archive