Small Firm Conference Call – October 8, 2019 Reg BI Audio Recording

FINRA President and CEO Robert Cook and Senior Vice President of Member Relations & 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).

Speakers:

• Robert Cook, FINRA President and Chief Executive Officer
• Chip Jones, Senior Vice President of Member Relations and Education
• Bob Colby, Chief Legal Officer
• Jim Wrona, Vice President and Associate General Counsel