Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Small Firm Report – FINRA's 529 Plan Share Class Initiative – Audio Recording

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.

Speakers:

  • Robert Cook, FINRA President and Chief Executive Officer
  • Chip Jones, Senior Vice President of Member Relations and Education
  • Susan Schroeder, Executive Vice President of Enforcement
REGISTER

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.