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Small Firm Report – February 20, 2019 Audio Recording

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 launched The Small Firm Report last April, a free conference call series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices. 

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

Topic:

  • FINRA’s 529 Plan Share Class Initiative
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