Regulatory Operations Transformation and FINRA Forward Updates (Duration 62 Minutes)
This webinar will provide small member firms with an overview of recent rule modernization efforts and key regulatory initiatives. We'll discuss FINRA's current regulatory policy agenda and provide updates on the Financial Intelligence Fusion Center. This session offers an excellent opportunity to stay informed about the evolving regulatory landscape and ask questions relevant to your firm's compliance needs.
FINRA Speakers
- Robert Cook, FINRA President and Chief Executive Officer
- Julie Glynn, Senior Vice President, Enforcement
- Jennifer Lund, Vice President, Surveillance
- Nicole McCafferty, Senior Vice President, Investigations
- Andrew McElduff, Senior Vice President, Risk and Intelligence
- Jim Reese, Executive Vice President, Examinations
- Greg Ruppert, Executive Vice President and Chief Regulatory Operations Officer
- Kayte Toczylowski, Senior Vice President, Member Firm Experience
Resources
- FINRA Forward
- FINRA Quarterly Regulatory Policy Agenda
- Election Notice - 6/8/2026: Notice of Annual Meeting of FINRA Firms and Election Proxy
- Blog Post: Expanding Rapid Remediation—A FINRA Forward Initiative to Resolve More Issues Earlier
- Blog Post: Enhancing Our Enforcement Program
- Podcast: How FINRA Is Enhancing Member Firm Examinations
- FINRA’s Financial Intelligence Fusion Center (FIFC)
- Upcoming FINRA Events
- On-Demand Education