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
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