The Small Firm Report

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. 

Small Firm Report Recordings

Wednesday, February 20

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

SIGN-UP

These events are open to all FINRA member firms. Participants must provide their firm's broker-dealer number when registering. Preregistration is required, as there are limited lines available.

The call will include a Q & A portion. Please submit your questions by email, either ahead of or during the call, to [email protected].

Questions


Please direct registration questions to (202) 728-6980 or via email.