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Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik

May 28, 2019

The Annual Conference in Washington, DC, is FINRA's premier event, bringing together practitioners, peers and regulators to exchange ideas on compliance and regulatory topics and trends.

On this episode of FINRA Unscripted, we take you behind the scenes of this year’s event to listen in on the first session of the three-day event: a fireside chat with FINRA’s President and Chief Executive Officer Robert Cook and Executive Vice President of Member Supervision Bari Havlik, moderated by Chip Jones, Senior Vice President of Member Relations and Education.

It’s not too soon to reserve your spot for the 2020 event. Don’t miss out, register today.

Resources mentioned in this episode:

FINRA360 Progress Report

How to Get Involved: FINRA Committees

2019 Annual Budget Summary

Report on Use of 2018 Fine Monies

Episode 21: Member Supervision: Introducing Bari Havlik and the Exam Program Transformation

Episode 14: Enforcement Guiding Principles

CAT Website

Reg Notice 19-17:  Protecting Investors from Misconduct

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