Bari Havlik's guest appearances

Bari Havlik

FINRA Unscripted

Marcia Asquith

Robert Cook

Gerri Walsh

Jonathan Sokobin

Eileen Murray

Stephanie Dumont

Greg Ruppert

OwlTail

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

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, <a href="http://www.finra.org/industry/2020-finra-annual-conference" rel="nofollow" target="_blank">register today</a>. 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

Straight from the Top: Fireside Chat with Robert Cook and Bari Havlik

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. After a more than 30 year career in compliance with the last 14 years spent as a chief compliance officer, Bari joined FINRA with a unique perspective on what FINRA could do to better leverage its staff and its talent and skills—while also eliminating duplication and improving the examination and risk monitoring experience for firms. In this episode of FINRA Unscripted, Bari joins us to share more about her vision for the future of FINRA’s exam and risk monitoring programs. Resources mentioned in this episode: Program Transformation Announcement FINRA360 Progress Report

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. After a more than 30 year career in compliance with the last 14 years spent as a chief compliance officer, Bari joined FINRA with a unique perspective on what FINRA could do to better leverage its staff and its talent and skills—while also eliminating duplication and improving the examination and risk monitoring experience for firms. In this episode of FINRA Unscripted, Bari joins us to share more about her vision for the future of FINRA’s exam and risk monitoring programs. Resources mentioned in this episode: <a href="https://www.finra.org/newsroom/2018/finra-announces-plan-consolidate-examination-and-risk-monitoring-programs" rel="nofollow" target="_blank">Program Transformation Announcement</a> <a href="https://www.finra.org/about/finra360-progress-report" rel="nofollow" target="_blank">FINRA360 Progress Report</a>