With the cancellation of the 2020 FINRA Annual Conference and other in-person events throughout the year, we’ve gone virtual with a variety of on-demand conference panels on regulatory hot topics.
On this episode, we’re dropping in for a quick listen to the latest FINRA Virtual Conference Panel with FINRA CEO Robert Cook, Member Supervision Head Bari Havlik and Chief Legal Officer Bob Colby, moderated by Chip Jones, head of Member Relations and Education, as they talk about the continued impact of the coronavirus on firm and FINRA operations, recent conversations around racial justice in America and more.
You can watch this full panel and nearly a dozen more on the FINRA website at any time.
Resources mentioned in this episode:
FINRA Senior Leaders Fireside Chat on Current Issues
COVID-19 FAQs
Regulatory Notice 20-16
Statement from the Board of Governors, June 2020
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
Preparing for Change: What to Know About the Shift to T+1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
MRTS 2.0: A Redesign for a Rapidly Evolving Market
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Investors of Color: New Insights from FINRA’s Investor Education Foundation
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning
2023 Small Firm Conference: A Fireside Chat with Robert Cook
Scary Money: The Latest Research from FINRA Investor Education Foundation
2023 Ketchum Prize: The Ultimate Fraud Fighter
Optimizing Efficiencies: An Update to FINRA’s MAP Transformation
FINRA’s Blockchain Lab: Regulation and Innovation For The Future
A Closer Look at Crypto: The Crucial Role of FINRA’s CAI Team
An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
Create your
podcast in
minutes
It is Free
City Manager Unfiltered
Potencial Americano
The ASIC Podcast
The Chris Plante Show
Red Eye Radio