FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski were joined by senior staff to discuss the importance of succession planning and a new compliance resource for small firms to use when undertaking this process.

This webinar provides an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.

FINRA Member Supervision staff partners with the Federal Bureau of Investigations (FBI) for this free webinar series.