Small Firm Briefing: Insights From the Clearing and Introducing Firm Forum – On-Demand Recording

FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum—the Forum that brought together member firms to discuss clearing and introducing-related challenges and potential solutions. Hear the topics that were covered and key takeaways.

Speakers:

• Robert Cook, FINRA President and Chief Executive Officer
• Kayte Toczylowski, Vice President, Member Relations and Education
• Preston Haxo, Small Firm Advisory Committee (SFAC) Chair, CCO, Mondeum Capital, LLC
• Carlos Barrientos, CCO, Invex, LLC (former SFAC Chair)
• Shawn Kinsella, CCO, Axos Clearing
• Lana Calton, Executive Managing Director and Head of Clearing Services, Hilltop