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ARTICLE · 26 MAY 2017

FINRA CEO Robert Cook Pushes For Organizational Change

Hogan Lovells Cadwalader
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FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry.

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry. At the 2017 FINRA Annual Conference, Mr. Cook highlighted FINRA360, a program designed to review all aspects of FINRA's organizational performance, including (i) the organizational and operational efficiency of regulatory functions, (ii) the effective utilization of data and technology, and (iii) how FINRA uses various tools and metrics to measure regulatory program success. Mr. Cook also discussed the benefits and disadvantages of FINRA's status as a self-regulatory organization, stating that:

"FINRA stands at a unique intersection of regulation and industry: our mission is investor protection and market integrity, and our task is to work with our members and other stakeholders to cultivate and deploy a deep expertise in the securities industry and enable regulation that is more effective—and more efficient—than

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