Regulatory Initiatives Webinar

Original Program Date: December 10, 2013

In this free 60-minute video webinar, a panel of FINRA executives look back at FINRA’s major regulatory activities of 2013 and preview its priorities for 2014.


  • Rick Ketchum, Chairman and CEO
  • Susan Axelrod, Executive Vice President, Regulatory Operations
  • Bob Colby, Chief Legal Officer
  • Chip Jones, Senior Vice President, Member Relations (Moderator)

How to Register

Complete the online registration form. A confirmation email will be sent after your registration has been processed.

Register 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, webinars, and other programs are closed to the media.