Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm.
On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CEO, and Elena Schlickenmaier, a Senior Principal Analyst in Member Supervision, to dig into Regulatory Notice 22-23 on succession planning to hear how and why firms should plan for the expected and unexpected in life.
Resources mentioned in this episode:
Regulatory Notice 22-23
Rule 4370: Business Continuity Planning
Rule 2040: Payments to Unregistered Persons
Continuing Membership Application Resources
FINRA Examination and Risk Monitoring Programs
FINRA & CE Council: Enhancing Industry Continuing Education
Advertising Regulation: Expect More Than Just Hype
Encore | Insider Trading: Finding the Needle in the Haystack
What Fees?: A Look at American Investor Knowledge
What to Expect: The 2020 Exam and Risk Monitoring Program
A Career Highlight: Exam and Risk Monitoring Program Transformation Update
Encore | How FINRA Rules Get Made (And Reviewed)
The Buildathon: Creating New Technology in Service of Investors
2019 Ketchum Prize: The Evolving World of Retirement Security
Regulation Best Interest: Preparing for a New Standard of Conduct
Market Regulation Enforcement: Ensuring Market Integrity
The Createathon: Breaking Down Silos and Sparking Innovation
FINRA’s Ambassador Abroad: The International Group
Collaboration, Expertise, Innovation and Responsibility: Introducing FINRA’s Values
Credit For Cooperation: Recognizing Extraordinary Efforts
Financial Capability Study, Part II: Tracking Shifting Currents of Financial Well-Being
Financial Capability Study, Part I: Does a Rising Tide Lift All Boats?
Encore | How the Cloud and Machine Learning Have Transformed FINRA Market Surveillance
DXT: Transforming the Digital Experience of Firms
Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
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