Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

Videos

Join FINRA President and CEO Robert Cook and The Honorable Gary Gensler, Chair, U.S. Securities and Exchange Commission (SEC) for a conversation about industry topics impacting the markets and the financial services industry.
COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.
Fostering Engagement
Fostering Engagement
Updates from the June 2020 FINRA Board of Governors meeting.
Fostering Engagement
Fostering Engagement
Updates from the March 2020 FINRA Board of Governors meeting.
Fostering Engagement
Fostering Engagement
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
Fostering Engagement
Fostering Engagement
FINRA CEO Robert Cook and members of the FINRA Board of Governors provide updates from the September 2019 FINRA Board of Governors meeting.
Fostering Engagement
Fostering Engagement
Watch the video report featuring highlights from the December 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Facilitating Compliance
*/ /*-->*/ Our third Small Firm Report took place on Tuesday, November 27.
Fostering Engagement
Fostering Engagement
Watch the video report featuring highlights from the September 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Facilitating Compliance
Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, talks with Wendy Lanton, Chief Compliance Officer of Lantern Investments and Chair of the Small Firm Advisory Committee (SFAC), about the SFAC and the work it does on behalf of small firms. The discussion includes an overview of the committee structure, the 2018 SFAC election, and information on how small firms can get more involved and raise issues to be addressed. (17 min. 59 sec.)