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The Small Firm Conference Call

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 offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices. 

There are no calls scheduled at this time.

These events are open to all FINRA member firms. Participants must provide their firm's broker-dealer number when registering. Preregistration is required, as there are limited lines available.

The call will include a Q & A portion. Please submit your questions, either ahead of or during the call, to [email protected].

Questions


Please direct registration questions to (800) 321-6273 or via email to [email protected].


Audio Recordings


Audio recordings of prior calls are made available to FINRA member firms. Register to listen to any session from the Small Firm Conference Call series:

  • FINRA Update – Recent Rule Changes and Guidance – July 29, 2020 – FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private placement offerings.
  • Updates and Implications of COVID-19 – FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones were joined by FINRA senior staff to discuss updates and implications of COVID-19.
  • SEC’s Regulation Best Interest (Reg BI) – October 8, 2019 – FINRA President and CEO Robert Cook and Senior Vice President of Member Relations and Education Chip Jones was joined by Executive Vice President and Chief Legal Officer Bob Colby and Vice President and Associate General Counsel Jim Wrona to discuss the SEC’s Regulation Best Interest (Reg BI).
  • Consolidated Audit Trail (CAT) – August 12, 2019 – FINRA President and CEO Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Vice President Dave Chapman, as well as Senior Director, CAT Business Operations, FINRA CAT, LLC Paul McKenney, to discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT).
  • FINRA's 529 Plan Share Class Initiative – February 20, 2019 – FINRA Chief Executive Officer Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones and Executive Vice President of Enforcement Susan Schroeder to discuss FINRA's 529 plan share class initiative.