BROWSE BY TOPIC
Stories of Interest
- New Law Bans Kaspersky Software from Use in U.S. Government
- I Owned Bitcoin For a Weekend and Here's What I Learned
- SEC Appoints New Chair and Board Members to PCAOB
- FINRA, Georgetown Team Up to Deliver 'Certified Regulatory and Compliance Professional' Program
- FINRA Board Meeting - This Week's Agenda
- Statement on Cryptocurrencies and Initial Coin Offerings - SEC Chair Clayton
- Company Halts Initial Coin Offering Over SEC Registration Concerns
- Kevin O'Leary Explains One Big Thing People Don't Understand About Bitcoin (But Need To)
- CME Bitcoin Futures: A Better Way to Buy (or Short) Bitcoin?
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
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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.