The small firm community, those firms with 150 or fewer registered financial professionals, came together in October to discuss and engage on key areas of concern at the Small Firm Conference. 

On this episode, we're taking you behind the scenes of this year's event with an abridged look at the fireside chat with FINRA CEO Robert Cook and Executive Vice President Greg Ruppert, moderated by FINRA's head of Member Relations Kayte Toczylowski.

Resources mentioned in this episode:

Trusted Contact Resources

Racial Justice Task Force

2021 Report on FINRA’s Examination and Risk Monitoring Program

Cybersecurity Resources

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