Making Your Voice Heard Through FINRA Member Engagement

As a self-regulatory organization, engagement with member firms is vital to FINRA’s success. On this episode, we highlight engagement opportunities, provide insight into how FINRA is listening and taking action on what we're hearing, and encourage even more listeners to get actively involved in FINRA's outreach.


FINRA Senior Vice President Kayte Toczylowski is joined by two current FINRA regional committee members: Serving on FINRA's Midwest regional committee, Margaret Dubil, Director of Surveillance for Stifel, Nicolaus & Company, and Stifel Independent Advisors; and serving on the New York regional committee, Peter Garcia, Head of Business Development and Controls at Rabobank and Officer of Rabo Securities USA, Rabobank's U.S. broker- dealer. The two provide firsthand experience on engaging with FINRA.


Resources mentioned in this episode:


FINRA Forward (https://www.finra.org/about/finra-for...)


FINRA Crypto and Blockchain Education Program (https://www.finra.org/events-training...)


Blog Post: FINRA Forward’s Rule Modernization—An Update (https://www.finra.org/media-center/bl...)


Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve (https://www.finra.org/media-center/bl...)


FINRA Conferences and Events (https://www.finra.org/events-training...)


2025 Involvement and Election Process Overview (https://www.finra.org/rules-guidance/...)


FINRA Engagement Portal (https://www.finra.org/about/committee...)


FINRA Advisory Committees (http://finra.org/about/governance/adv...)






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