Discussion With the Small Firm Advisory Board

Original Program Date: April 23, 2013

This free webinar focuses on the Small Firm Advisory Board (SFAB), which is tasked with informing FINRA’s Board of Governors and staff on the impact of FINRA rule proposals and regulatory programs on small firms. During this 60-minute webinar, current and past SFAB chairs discuss their thoughts on recent FINRA regulatory initiatives, pending rule proposals and how small firms can participate in the rulemaking process.

 

The panel also addresses the work of the SFAB, how individuals get on the SFAB and how the meetings are conducted.

 

Panelists

  • Mark Cresap, President, Cresap, Inc.
  • Chip Jones, Senior Vice President, FINRA Member Relations (Moderator)
  • Lisa Roth, President of Monahan & Roth
  • David Sobel, Executive Vice President and Chief Compliance Officer, Abel/Noser Corp.

 

Register Now

Complete the online registration form. A confirmation email will be sent 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.
 
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