The Small Firm Report

Tuesday, November 27, 2018
3:30 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 third small firm conference call, which will be on Tuesday, November 27 at 3:30 p.m. ET.  SVP Chip Jones will be joined by CEO Robert Cook, SVP for Investor Education Gerri Walsh and Senior Director for Advertising Regulation Amy Sochard to discuss:

The call will conclude with a Q and A portion.

This event is open to all members. Details are as follows: 

Tuesday, November 27
3:30 - 4:15 p.m. ET

Register Now