Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Videos
Cybersecurity experts and regulators gathered in New York City on February 22, 2018 to focus on key ways the financial services industry can maintain cybersecurity.
Original Program Date: Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA hosted a phone-in workshop and WebEx presentation in December 2017 to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two Report Cards became available on the FINRA Report Center in early January.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
On this recording of a June 8, 2017, TRACE Phone-In Workshop, FINRA staff review relevant rules and regulations, and discuss testing and other relevant technical information related to the July 10 requirement for to begin reporting transactions in U.S. Treasury Securities to FINRA via the Trade Reporting and Compliance Engine (TRACE).
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.
FINRA has developed a video demonstration of the new web-based interface through which firms will begin submitting short interest reports to FINRA effective January 17, 2017.
FINRA President and CEO Robert Cook, Chairman of the Board Jack Brennan and Finance Committee Chair John Davidson review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board rulemaking actions is also available.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other issues discussed at FINRA's September Board of Governors meeting. In addition to the video, a summary of the board actions is also available.