FINRA issued a notice seeking comment from interested parties regarding its current engagement programs. The notice provides an overview of the engagement programs, with particular focus on FINRA’s committees, rulemaking process and member relations and related programs.
The notice is part of a new FINRA initiative to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. FINRA’s status as a self-regulatory organization (SRO) requires that FINRA engage effectively with its member firms, as well as investors and other stakeholders, many of whom devote time to these programs.
The comment period expires on May 5, 2017.
View the notice.