Using FINRA Technology to Support Compliance
Original Program Date: August 7, 2012
This free webinar focuses on FINRA technology that can help firms meet regulatory requirements and monitor risk. During this 90-minute webinar, FINRA staff and industry experts discuss FINRA systems such as CRD, Firm Gateway and the Report Center. Panelists review a number of useful FINRA reports and systems that support firm compliance activities and describe how they use these tools in their day-to-day operations.
Panelists
- Doug Cohen, Director, FINRA Business Solutions
- Noah Egorin, Director, FINRA Firm Compliance Tools
- Fred Fram, Executive Vice President, Summit Brokerage Services, Inc.
- Chip Jones, Senior Vice President, FINRA Member Relations (moderator)
- Carolyn May, CCO and Advisory Director, Simmons First Investment Group, Inc.
Register Now
Complete the registration form. A confirmation email will be sent to you after your registration has been processed.
Registration for the On-Demand Webinar
For registration or technical questions call (800) 321-6273.
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.