Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
FINRA Unscripted
English - May 28, 2019 13:51 - 31 minutes - 43.8 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
The Annual Conference in Washington, DC, is FINRA's premier event, bringing together practitioners, peers and regulators to exchange ideas on compliance and regulatory topics and trends.
On this episode of FINRA Unscripted, we take you behind the scenes of this year’s event to listen in on the first session of the three-day event: a fireside chat with FINRA’s President and Chief Executive Officer Robert Cook and Executive Vice President of Member Supervision Bari Havlik, moderated by Chip Jones, Senior Vice President of Member Relations and Education.
It’s not too soon to reserve your spot for the 2020 event. Don’t miss out, register today.
Resources mentioned in this episode:
FINRA360 Progress Report
How to Get Involved: FINRA Committees
2019 Annual Budget Summary
Report on Use of 2018 Fine Monies
Episode 21: Member Supervision: Introducing Bari Havlik and the Exam Program Transformation
Episode 14: Enforcement Guiding Principles
Reg Notice 18-08: Outside Business Activities
CAT Website
Reg Notice 19-17: Protecting Investors from Misconduct