How FINRA Is Enhancing Member Firm Examinations
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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 he...
About This Episode
A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo is an episode from FINRA Unscripted by FINRA. Small firms face unique challenges. The regulatory landscape is evolving rapidly. And the conversat...
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This episode belongs to FINRA Unscripted.
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Episode Details
Published Nov 4, 2025, 00:26:51 long, audio available.
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Questions About This Episode
What is A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo about?
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 Forward Small Firm Advisory Committee (SFAC) FINRA Small Firm Helpline The Small Firm Briefing FINRA Crypto and Blockchain Education Program Reg Notice 25-13: Form U4 Recordkeeping Requirements Reg Notice 25-07: The Modern Workplace Reg Notice 25-06: Capital Formation Reg Notice 25-04: Rule Modernization Blog Post: FINRA Forward’s Rule Modernization—An Update Blog Post: Vendors, Intelligence Sharing and FINRA’s Mission Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve Ep. 177: Previewing FINRA’s Crypto and Blockchain Education Program Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail
Where can I listen to A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo?
You can listen to A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo online on Radio and Podcast. Open the player on this page to stream the available audio.
Which podcast is A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo from?
A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo is an episode from FINRA Unscripted by FINRA.
How long is this episode?
This episode is 00:26:51 long.
When was this episode published?
This episode was published on Nov 4, 2025.
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Are there related episodes from FINRA Unscripted?
Yes. This page shows related episodes from FINRA Unscripted when more episodes are available from the podcast feed.
Quick Answers About This Episode
Where can I listen to A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo?
You can listen to A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo on this page when the episode audio is available from the podcast feed.
Which podcast is this episode from?
A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo is from FINRA Unscripted by FINRA.
What are the episode details?
Published Nov 4, 2025 and 00:26:51 long