As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. 

Now that we are nearly two years into the new structure, we are joined on this episode by two SPOAs – Andrew McElduff and Brian Kowalski – to give us insight into their roles, how they interface with member firms, and how their positions have evolved since the new structure took effect in 2020.