15 min listen
FINRA360: Building a Stronger FINRA
FromFINRA Unscripted
ratings:
Length:
17 minutes
Released:
Nov 28, 2017
Format:
Podcast episode
Description
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
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
Released:
Nov 28, 2017
Format:
Podcast episode
Titles in the series (100)
Member Supervision: Introducing Bari Havlik and the Exam Program Transformation: When Bari Havlik joined FINRA as Executive Vice President of the newly named Member Supervision team, she did so with big plans for the examination and risk monitoring programs. In this episode, Bari shares her vision for the future and how her background in compliance has shaped her views. by FINRA Unscripted