Sign up to save your podcasts
Or
Share Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
Share to email
Share to Facebook
Share to X
Share to email
Share to Facebook
Share to X
Or
Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik
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
Find us: X / YouTube /LinkedIn / Facebook / E-mail
View all episodes
By FINRA
4.8
4444 ratings
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
Find us: X / YouTube /LinkedIn / Facebook / E-mail
More shows like FINRA Unscripted
View all
Planet Money
30,693 Listeners
Marketplace
8,763 Listeners
WSJ Your Money Briefing
1,703 Listeners
Investing Insights
523 Listeners
WSJ Tech News Briefing
1,644 Listeners
Notes on the Week Ahead
194 Listeners
The Clark Howard Podcast
5,455 Listeners
The Lazy Genius Podcast
6,650 Listeners
The Daily
112,408 Listeners
Up First from NPR
56,513 Listeners
The Journal.
6,095 Listeners
The Securities Compliance Podcast: Compliance In Context
33 Listeners
The Money with Katie Show
1,555 Listeners
UNBIASED Politics
2,419 Listeners
WSJ's Take On the Week
144 Listeners