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
How the Cloud and Machine Learning Have Transformed Market Surveillance
How the Cloud Has Revolutionized FINRA Technology
What is FINRA’s Dispute Resolution Forum?
ERI: Introducing FINRA’s Weatherman
One Enforcement: Introducing FINRA’s New Enforcement Team
The Senior Helpline: Addressing the Unique Needs of Senior Investors
One FINRA: A Commitment to Diversity and Inclusion
Combatting Cybersecurity Threats
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs
Investing Smarter
FINRA360: Building a Stronger FINRA
Building A More Transparent Organization
What Does FINRA’s Chief Economist Do?
Create your
podcast in
minutes
It is Free
City Manager Unfiltered
Potencial Americano
The ASIC Podcast
The Chris Plante Show
Red Eye Radio