3: FINRA360: Building a Stronger FINRA

How can FINRA become a better, more effective regulator? That’s the question President and CEO Robert Cook is looking to answer.

In 2017, Cook introduced FINRA360, a multi-year initiative to process and act upon feedback about how FINRA could do better. Cook has solicited feedback at every turn – internally, from FINRA member firms, from investors and investor advocates and other stakeholders.

In this episode, Cook highlights some of the major accomplishments under FINRA360 to date and previews what is yet to come.

Resources mentioned in this episode:

FINRA360

Special Notice on Engagement

Examination Findings Report

Budget Summary and Financial Guiding Principles

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