Chip Jones, FINRA’s Senior Vice President of Member Relations and Education, leads a discussion with John Kalohn, Vice President, Testing & Continuing Education, and Joe McDonald, Senior Director, Qualifications & Exams, about FINRA’s exam restructuring initiative. (10 min. 13 sec.)
Videos
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
On April 20, 2015, FINRA launched the Securities Helpline for Seniors to provide senior investors a source of trustworthy information and assistance. Since its inception, Helpline staff has taken more than 13,000 calls and brokerage firms have voluntarily returned more than $5.3 million to brokerage customers because of information and help provided by the Helpline.
Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Cybersecurity experts and regulators gathered in New York City on February 22, 2018 to focus on key ways the financial services industry can maintain cybersecurity.
Original Program Date: Thursday, December 14, 2017
4:15 p.m. – 5:00 p.m. ET
FINRA hosted a phone-in workshop and WebEx presentation in December 2017 to introduce the Cross Market Equities Supervision: Potential ATS Cross Manipulation and Cross Market Equities Supervision: Potential Auto Execution Manipulation Report Cards. These two Report Cards became available on the FINRA Report Center in early January.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
On this recording of a June 8, 2017, TRACE Phone-In Workshop, FINRA staff review relevant rules and regulations, and discuss testing and other relevant technical information related to the July 10 requirement for to begin reporting transactions in U.S. Treasury Securities to FINRA via the Trade Reporting and Compliance Engine (TRACE).
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.