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
2021 Small Firm Conference: A Fireside Chat with Robert Cook and Greg Ruppert
FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Encore | Overlapping Risks: Anti-Money Laundering and Cybersecurity
2021 Ketchum Prize: Expanding Financial Capability in Native Communities
Make Your Voice Heard: FINRA's Regional Committees
The Journey to the Cloud: Implications for the Securities Industry
Introducing Stephanie Dumont
FINRA’s Financial Intelligence Unit: Connecting the Dots
Building Board Diversity: FINRA’s Ongoing Commitment
2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead
Advanced Analytics: Transforming Advertising Regulation
At, By or Through: Fraud in the Broker-Dealer Industry
Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead
Year in Review: The 2020 Exam and Risk Monitoring Program
Cybersecurity: Current and Emerging Industry Priorities and Threats
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
Revolutionizing the Digital Experience: Form U4 and FINRA Gateway
Member Relations & Education: Reimagining the Future of Engagement
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