How FINRA Is Enhancing Member Firm Examinations
May 5, 2026 - 00:34:33
Radio and PodcastLive Radio & PodcastsGovernment & Organizations
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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Episode Details
Published Nov 4, 2025, 00:26:51 long, audio available.
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