Small Firm Conference Call: FINRA Update – Recent Rule Changes and Guidance – Audio Recording

July 29, 2020

FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private placement offerings.

Speakers:

  • Robert Cook, FINRA President and Chief Executive Officer
  • Kayte Toczylowski, Vice President and Deputy of Member Relations and Education
  • Demetrios (Jay) Koutros, Senior Director, Risk Monitoring Standards
  • Amy Sochard, Vice President, Advertising Regulation
  • Ira Gluck, Director, Advertising Regulation
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