The Small Firm Report
Monday, July 23, 2018
4:00 – 4:45 p.m. ET
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA launched The Small Firm Report last April, a free conference call series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
Registration is now open for our second small firm conference call, which will be on Monday, July 23 at 4:00 p.m. E.T. SVP Chip Jones will be joined by CEO Robert Cook, Senior Director Joe McDonald and Associate General Counsel Afshin Atabaki to discuss:
- Recent Updates to FINRA Rule Proposals
- Background Checks and Rule 3110(e)
- Exam Restructuring and The Securities Industry Essentials Exam (SIE)
The call will conclude with a Q and A portion.
This event is open to all members.
Registration is now closed.