FINRA - Financial Industry Regulatory Authority Inc.

02/11/2019 | Press release | Distributed by Public on 02/11/2019 17:11

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

Upcoming Conference Calls

Wednesday, February 20, 2019 - 3:00 p.m. to 4:00 p.m. ET

Speakers:

  • Chip Jones, Senior Vice President of Member Relations and Education
  • Robert Cook, President and CEO
  • Susan Schroeder, Executive Vice President of Enforcement

Discussion Topic:

These events are open to all FINRA member firms. Participants must provide their firm's broker-dealer number when registering. Pre-registration is required, as there are limited lines available.

Questions

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