During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
FINRA’s Board of Governors met on December 1 and 2—and it approved two rule proposals and the organization’s 2022 budget, appointed several members to the Small Firm Advisory Committee (SFAC) and to the National Adjudicatory Council (NAC), and received an update on recently concluded Regional Committee and SFAC elections.
FINRA’s Board of Governors met on December 14 and 15, and it approved FINRA’s 2023 budget and two rule proposals, and appointed new members to the National Adjudicatory Council and the Small Firm Advisory Committee.
FINRA’s Board of Governors met on March 9 and 10—and it approved three rule proposals and the allocation of 2021 fine monies to various capital initiatives in accordance with FINRA’s Financial Guiding Principles.
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.
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FINRA’s Board of Governors met on May 11 and 12, and it approved three rule proposals and the organization’s 2021 Annual Financial Report, and appointed new members to FINRA's Advisory Committees.
During its September 13 and 14 meeting, the FINRA Board of Governors reaffirmed FINRA’s Financial Guiding Principles and continued discussions around FINRA’s Regulatory Operations and received an overview of pending and final regulatory initiatives affecting member firms.
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.
Read CEO Robert Cook’s email to firms describing outcomes from the September 2020 FINRA Board of Governors Meeting.
