The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Relations, Kayte Toczylowski.
Resources mentioned in this episode:
FINRA Webinars
FINRA Small Firm Conference Calls
Office of Hearing Officers
National Adjudicatory Council
Small Firm Advisory Committee
FINRA Board of Governors
Conferences & Events
Member Firm Hub
FINRA Enforcement: Bringing Cases Against Individual Brokers
Regulatory Operations: Stronger Regulation Through Integrated Oversight
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Encore | The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Regulation Best Interest and Form CRS: Two Years In
Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program
AML Update: The Latest Trends and Effective Practices
FINRA Annual Conference: Fireside Chat with Eileen Murray
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
MAP Transformation: Streamlining FINRA's Gatekeeper Function
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Fraud Stoppers: FINRA’s Market Investigations Team
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
Celebrating 100: FINRA Unscripted's Greatest Hits
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Deep Learning: The Future of the Market Manipulation Surveillance Program
What to Expect: CE Transformation & Maintaining Qualifications Program
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Create your
podcast in
minutes
It is Free
City Manager Unfiltered
Potencial Americano
The ASIC Podcast
The Chris Plante Show
Strict Scrutiny