Small Firm Report – July 23, 2018 Audio Recording

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, a series of free conference calls featuring senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Our second Small Firm Report took place on Monday, July 23. CEO Robert Cook, was joined by Senior Vice President Chip Jones, Senior Director Joe McDonald and Associate General Counsel Afshin Atabaki to discuss:

• Exam Restructuring and The Securities Industry Essentials (SIE) Exam
• Rule 3110(e) and Background Checks
• Updates to FINRA Rule Proposals