Rulemaking Items for Discussion at the July 2014 Meeting
Rulemaking topics discussed include: background investigations;
customer account statements;
panelist pool expansion for disciplinary hearings; and
public repository of FINRA Form 211 information.
Rulemaking Items for Discussion at the April 2014 Meeting
TRACE Monthly Volume Report for 2014
TRACE Monthly Volume Report for 2013
Rulemaking topics discussed include:
BrokerCheck link in online retail communications with the public;
definitions of public and non-public arbitrators;
expungement of customer dispute information; and
temporary cease and desist orders, expedited proceedings.
Rulemaking Items for Discussion at the February 2014 Meeting
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
