Videos

This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application. The five short videos outline the various stages of the process and highlight key resources.

During its July 12 and 13 meeting, the FINRA Board of Governors Re-elected Eric Noll as chair, re-appointed public governors Deborah Bailey, Lisa Fairfax and Maureen Jensen, and approved three rulemaking items.

During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.

Join FINRA President and CEO Robert Cook and The Honorable Gary Gensler, Chair, U.S. Securities and Exchange Commission (SEC) for a conversation about industry topics impacting the markets and the financial services industry.

FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.

COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.

Updates from the June 2020 FINRA Board of Governors meeting.

Updates from the March 2020 FINRA Board of Governors meeting.

FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.

FINRA CEO Robert Cook and members of the FINRA Board of Governors provide updates from the September 2019 FINRA Board of Governors meeting.