Small Firm Conference Call: Looking Ahead to 2024: A Conversation with FINRA Senior Leadership – Audio Recording

December 12, 2023

Kayte Toczylowski, Vice President of Member Relations and Education, hosts senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Speakers:

• Kayte Toczylowski, Vice President, Member Relations and Education 
• Stephanie Dumont, Executive Vice President, Market Regulation and Transparency Services
• Bill St. Louis, Executive Vice President, Enforcement 
• Claire O’Sullivan, Vice President, Member Supervision Regulatory Advisor and Stakeholder Engagement