BROWSE BY TOPIC
Stories of Interest
- CFTC Chair Giancarlo Appoints Bruce Tuckman as Chief Economist
- Twice-Convicted Ex-Jefferies Trader Litvak Faces Prison After Losing Bail Request
- Wells Fargo Hikes Full-Year S&P 500 Target
- SEC Institutes Administrative Proceedings Against Shkreli
- Goldman's Lloyd Blankfein Seems to be Making a Habit Out of Trolling Trump
- Goldman on Hunt for Star Traders to Revive Struggling Commodities Unit
- Yahoo Owes Millions for Busting NCAA Tourney Bracket Deal
- JPMorgan Joins 21st Century Fox in Fighting 'Deep Divisions Across Our Country'
- Please, God, Save Gary Cohn From Himself: The Case for Resigning
- Regulatory Considerations When Bringing on a New Advisor
- Why Deutsche Bank is at Mercy of Regulators
- U.S. Treasury Auction Class-Action – Federal Judge Causes Interminable Delay
- Mnuchin Rejects Calls to Resign and Defends Trump
- Best Time to Go to the U.S. (Tennis) Open Tourney - Before It Starts on August 28
- Stifel Prevails in Arbitration But Ex-Hilltop Employees Hit with Awards - Bill Singer
- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
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NEWSLETTERS & ALERTS
FINRA Engages in Self-Improvement – Your Feedback Would Help
FINRA is taking a long, hard look at its operations and programs – that are “dedicated to investor protection and market integrity through effective and efficient regulation that facilitates vibrant capital markets. To that end, FINRA issued a Special Notice to members that asks the question: How can FINRA become more effective?
FINRA has identified its activities into 6 basic categories or engagement programs, and this Notice provides an overview of those programs. Particular focus is given to FINRA's committees,rulemaking process and member relations and related programs.
1. Engagement Through Advisory, Ad Hoc and District Committees
2. Engagement in Connection With FINRA Rulemaking
3. Engagement Through Member Relations, Education and Compliance Resources
4. Engagement Through Investor Education
5. Reporting on FINRA Operations
6. Other Communications, News and Reporting Information Resources
6 how it may become more effective. First, FINRA seeks comments from member firms and other interested parties.
If you've got a spare moment, FINRA would like your comments as to how it can enhance these programs to promote its mission and its effectiveness as an SRO.