Read President and CEO Robert Cook’s post-meeting email to firms highlighting the May 2019 FINRA Board of Governors meeting.
FINRA’s Board of Governors met on September 23 and 24, and approved a proposal to establish a modest fee for individuals who choose to complete continuing education (CE) to remain qualified for up to five years following the termination of the individual’s registration. The Board also approved two rulemaking items and reaffirmed FINRA’s Financial Guiding Principles.
The FINRA Board of Governors is holding its final meeting of the year, with Board committees giving consideration to multiple issues.
Read CEO Robert Cook’s email to firms describing outcomes from the December 2020 FINRA Board of Governors Meeting.
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.
March 10, 2021FINRA’s Board of Governors met virtually last week, and I am pleased to share some updates from our discussions.The Board approved the publication of a Regulatory Notice soliciting comment on proposed amendments to FINRA Rule 3240 (Borrowing From or Lending to Customers) resulting from a recent Retrospective Rule Review. The proposal seeks to strengthen the general prohibition of
FINRA’s Board of Governors met on September 21 and 22, and it approved two rule proposals and met with three officials from the Securities and Exchange Commission (SEC).
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.
