Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively?
On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more.
Resources mentioned in this episode:
Small Firm Advisory Committee (SFAC)
FINRA Crypto and Blockchain Education Program
Reg Notice 25-13: Form U4 Recordkeeping Requirements
Reg Notice 25-07: The Modern Workplace
Reg Notice 25-06: Capital Formation
Reg Notice 25-04: Rule Modernization
Blog Post: FINRA Forward’s Rule Modernization—An Update
Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission
Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve
Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program
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