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

Upcoming Conference Call


Monday, August 12, 2019
3:00 p.m. - 3:45 p.m. ET

Topic:

Consolidated Audit Trail (CAT)

Speakers:

  • Chip Jones, FINRA Senior Vice President of Member Relations and Education
  • Robert Cook, FINRA President and Chief Executive Officer
  • Dave Chapman, FINRA Vice President, Market Analysis and Audit Trail Group
  • Paul McKenney, Senior Director, CAT Business Operations, FINRA CAT, LLC
Register Now

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].

Audio Recordings


Audio recordings of prior calls are made available to FINRA member firms. Register to listen to any session from The Small Firm Report series:

  • 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.
  • November 27, 2018 – FINRA Chief Executive Officer Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Senior Vice President of Investor Education Gerri Walsh and Senior Director of Advertising Regulation Amy Sochard to discuss new research on millennial investors and implication for industry and digital communications and social media compliance
  • July 23, 2018 – FINRA Chief Executive Officer Robert Cook, was joined by Senior Vice President Chip Jones, Senior Director Joe McDonald and Associate General Counsel Afshin Atabaki to discuss exam restructuring and the securities industry essentials (SIE) exam, rule 3110(e) and background checks and updates to FINRA rule proposals

Questions


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