The Small Firm Report
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 Report, a free conference call series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.
Upcoming Conference Call
Tuesday, October 8, 2019
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 by email, either ahead of or during the call.
Audio recordings of prior calls are made available to FINRA member firms. Register to listen to any session from the Small Firm Report series:
- 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.
- Millennial Investors, Digital Communications and Social Media Compliance – November 27, 2018 – FINRA Chief Executive Officer Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Senior Vice President of Investor Education Gerri Walsh and Senior Director of Advertising Regulation Amy Sochard to discuss new research on millennial investors and implication for industry and digital communications and social media compliance.
- Exam Restructuring and the Securities Industry Essentials (SIE) Exam – July 23, 2018 – FINRA Chief Executive Officer Robert Cook, was joined by Senior Vice President Chip Jones, Senior Director Joe McDonald and Associate General Counsel Afshin Atabaki to discuss exam restructuring and the securities industry essentials (SIE) exam, rule 3110(e) and background checks and updates to FINRA rule proposals.
Please direct registration questions to (800) 321-6273 or via email.