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Small Firm Report – November 27, 2018 Audio Recording

Our third Small Firm Report took place on Tuesday, November 27. 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
  • Digital Communications and Social Media Compliance