BROWSE BY TOPIC
Stories of Interest
- Is Trump’s “Foreclosure King” in Over His Head?
- FBI Arrests NCAA Basketball Coaches and Adidas Rep in Bribery Probe Involving Recruitment
- Equifax CEO Steps Down Amid Hacking Scandal
- Litigation Costs to Rub Salt in RBS Investor Wounds
- RIAs Poised to Land Wirehouse Recruits - Dan Jamieson
- Citibank and U.K. Affiliate to Pay $550K Penalty for Swap Data Reporting Violations - CFTC
- AIG to Restructure into 3 New Units, Marking CEO's First Big Move
- Accounting Firm Deloitte Says It Suffered Cyberattack (subsc reqd)
- Upcoming FINRA Board Meeting and FINRA360 Update
- Elizabeth Warren Lifts Hold on Trump DOJ Antitrust Nominee
- Bigger Mergers Narrow Indy Reps' Options, Alter IBD Channel - Dan Jamieson
- Dentons to Merge with U.K.'s Murray & Spens
- BigLaw Hogan Lovells Announces Hundreds of Buyouts, Layoffs - Almost 500 Affected
- Faith-Based Advisor Censured for Selling Class A Shares to Clergy
- After FINRA Bar, CFP Board Suspends Texas Advisor
- iCapital Network to Acquire U.S. Private Equity Access Fund Platform from Deutsche Bank
- Deutsche Bank ‘Beyond Repair’ as Trading Drops - Autonomous Research
- Guggenheim Partners CEO Might Step Down
- Wachovia Customer Sues Wells Fargo Over FundSource Losses - Bill Singer
- Credit Downgrade for Wells Fargo Due to Fake Account Scandal
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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.