A Few Minutes With FINRA
Brief video segments in which senior FINRA staff discuss timely regulatory topics and respond to comments from firms on specific areas of concern.
Dan Sibears, FINRA’s Executive Vice President of Regulatory Operations – Shared Services, expands upon several key topics that are addressed in FINRA's 2015 annual Regulatory and Examination Priorities Letter.
February 18, 2015 | 14 min. 12 sec.
Tom Selman, FINRA’s Executive Vice President for Regulatory Policy, responds to questions FINRA has received from firms about IRA rollovers, the focus of FINRA Regulatory Notice 13-45, which was published in December 2013.
October 1, 2014 | 5 min. 32 sec.
Susan Axelrod, FINRA Executive Vice President for Regulatory Operations, provides an update on FINRA's CARDS proposal.
September 30, 2014 | 9 min. 57 sec.
Rick Ketchum, FINRA’s Chairman and CEO, provides background information on FINRA’s recent Report on Conflicts of Interest and discusses what firms should be thinking about with respect to managing conflicts.
October 22, 2013 | 8 min. 3 sec.
FINRA's Chief Economist Jonathan Sokobin discusses his office's role at FINRA, the importance of economic analysis and industry input to the rulemaking process, and FINRA's plans for the retrospective rule review.
September 23, 2013 | 9 min. 2 sec.
FINRA's Executive Vice President of Regulatory Operations Susan Axelrod provides an update on FINRA's examination program, including a newly implemented process for submitting examination-related documents through the Firm Gateway.
September 18, 2013 | 8 min. 11 sec.
Marcia Asquith, FINRA's Corporate Secretary, answers common questions about FINRA's Board of Governors elections, including where firms can find information about candidates and how to vote.
July 3, 2013 | 8 min. 27 sec.
Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers.
June 11, 2013 | 9 min. 4 sec.
Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, discusses her responsibilities and priorities in this new role, and provides an update on the 2013 Risk Control Assessment.
May 8, 2013 | 7 min. 56 sec.