The Small Firm Report

Tuesday, April 24, 2018
4:00 p.m. – 4:45 p.m. ET

FINRA is launching The Small Firm Report, a series of free 45-minute conference calls that focus on the unique regulatory challenges faced by small firms. Join FINRA CEO Robert Cook, VP Jim Wrona and SVP Chip Jones on Tuesday, April 24 at 4:00 p.m. ET for the first small firm conference call. Topics to be discussed include:

  • Changes that are underway to enhance and streamline FINRA’s exam programs
  • Regulatory Notice 18-08 – Proposed changes to OBA and PST Rules
  • FINRA Rules 2165 and 4512 – Relating to Financial Exploitation of Seniors

Registration is now closed.