ARTICLE
31 March 2017

FINRA Undertakes Comprehensive Review Of Member And Public Engagement Programs

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
In a Special Notice, FINRA solicited comments on certain member and public engagement programs to enhance its effectiveness as a self-regulatory organization ("SRO").
United States Finance and Banking

In a Special Notice, FINRA solicited comments on certain member and public engagement programs to enhance its effectiveness as a self-regulatory organization ("SRO").

Specifically, FINRA requested comments on member and public engagement with respect to the following programs:

  • Advisory, Ad Hoc and District Committees;
  • FINRA's Rulemaking Process;
  • Member Relations, Education and Compliance Resources;
  • Investor Education;
  • Transparency into FINRA's Activities and Operations; and
  • Other Available Communications, and FINRA's News and Reporting Information Resources.

Comments must be submitted by May 5, 2017.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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