The Small Firm Conference Call

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 offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Upcoming Conference Calls

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

The call will include a Q & A portion. Please submit your questions through the registration process.

Questions

Please direct registration questions to (800) 321-6273 or via email.

Audio Recordings

Audio recordings of prior calls are made available to FINRA member firms. Register to listen to any session from the Small Firm Conference Call series:

• Succession Planning - September 16, 2024
• The Intersection of Fraud and Cybersecurity – June 3, 2024
• Regulatory Notice 24-02: Residential Supervisory Location and Remote Inspections Pilot Program – February 12, 2024
• Looking Ahead to 2024: A Conversation with FINRA Senior Leadership – December 12, 2023
• Registration, Testing and Continuing Education Updates – July 27, 2023
• Regulation Best Interest (Reg BI) – April 24, 2023
• 2023 Report on FINRA’s Examination and Risk Monitoring Program – January 12, 2023
• CE Transformation and CAT Implementation – December 5, 2022
• SEC’s Regulation Best Interest and Form CRS – September 19, 2022
• Senior and At-Risk Investors – June 6, 2022
• 2022 Report on FINRA’s Examination and Risk Monitoring Program – February 28, 2022
• Continuing Education (CE) Transformation and Year-End Reminders – December 6, 2021
• Cybersecurity: Issues Affecting the Industry and Effective Practices – June 15, 2021
• 2021 Report on FINRA’s Examination and Risk Monitoring Program – February 24, 2021
• FINRA Update and Technology Changes – November 17, 2020
• FINRA Update – Recent Rule Changes and Guidance – July 29, 2020
• Updates and Implications of COVID-19
• SEC’s Regulation Best Interest (Reg BI) – October 8, 2019
• Consolidated Audit Trail (CAT) – August 12, 2019
• FINRA's 529 Plan Share Class Initiative – February 20, 2019