Small Firm Conference Call: SEC’s Regulation Best Interest and Form CRS – Audio Recording

September 19, 2022

FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the SEC’s Regulation Best Interest (Reg BI) and Form CRS.

Speakers:

  • Robert Cook, FINRA President and Chief Executive Officer
  • Meredith Cordisco, Associate General Counsel, Office of General Counsel
  • Nicole McCafferty, Senior Director, National Cause and Financial Crimes Detection Programs
  • Kayte Toczylowski, Vice President, Member Relations and Education
  • Justin Triolo, Examination Director, Diversified, Carrying & Clearing Examinations

 

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