Small Firm Briefing: Key Regulatory Insights and Practical Guidance (Duration: 50 Minutes)
Kayte Toczylowski is joined by Robert Cook and the three small firm governors from FINRA’s Board, Erin Baskett, Wendy Lanton and Jennifer Szaro, for a conversation on how small firms are navigating today's evolving regulatory landscape. This session highlights actionable insights and practical strategies shared at the Small Firm Conference to help your firm stay compliant while operating efficiently.
FINRA Speakers
- Robert Cook, FINRA President and Chief Executive Officer
- Kayte Toczylowski, Vice President, Member Relations and Education
Guest Speakers
- Erin Baskett, Sine Qua Non Capital LLC
- Wendy Lanton, Herold & Lantern Investments, Inc.
- Jennifer Szaro, XML Securities, LLC
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