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.

 


Conflicts of Interest

Conflicts of Interest

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.

 


Framework for Economic Impact Assessment

Framework for Economic Impact Assessment

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 Examination Program Update

FINRA Examination Program Update

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.

 


Board of Governors Election Process

Regulatory Operations Overview

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.

 


FINRA Rulemaking Updates

Regulatory Operations Overview

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.

 


Regulatory Operations Overview

Regulatory Operations Overview

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.

 

Last Updated: 10/22/2013