The 2021 FINRA Annual Conference was like no other with the event held entirely online. Nonetheless, like in any other year, the event provided the opportunity for practitioners, peers and regulators to connect and exchange ideas.
On this episode, we’re taking you behind the scenes of this year’s event to listen in on the fireside chat between FINRA CEO Robert Cook and FINRA Board Chair Eileen Murray as they talk about everything from return to work and the future of the workforce to the work of FINRA Board of Governor and diversity, equity and inclusion.
Resources mentioned in this episode:
Episode 12: How the Cloud has Revolutionized FINRA Technology
Episode 68: Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
2021 Virtual Technology Conference
2022 FINRA Annual Conference
McKenzie Study: Jobs Lost, Jobs Gained
Statement of the FINRA Board of Governors: June 11, 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
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