A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo

Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversation between regulators and the regulated is more important than ever. How does FINRA ensure that small firm voices are heard? How do small firms navigate an increasingly complex environment while serving their clients effectively? On this episode, we bring you a conversation between FINRA President and CEO Robert Cook and Small Firm Advisory Committee (SFAC) Chair Preston Haxo from FINRA's Small Firm Conference in Dallas on Oct. 9. The two explored the vital role of the SFAC, the ongoing progress of our FINRA Forward initiatives, the practical ways small firms can engage with FINRA, and more.Resources mentioned in this episode:FINRA ForwardSmall Firm Advisory Committee (SFAC)FINRA Small Firm HelplineThe Small Firm BriefingFINRA Crypto and Blockchain Education ProgramReg Notice 25-13: Form U4 Recordkeeping RequirementsReg Notice 25-07: The Modern WorkplaceReg Notice 25-06: Capital FormationReg Notice 25-04: Rule ModernizationBlog Post: FINRA Forward’s Rule Modernization—An UpdateBlog Post: Vendors, Intelligence Sharing and FINRA’s MissionBlog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They ServeEp. 177: Previewing FINRA’s Crypto and Blockchain Education Program Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.