The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program
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Description
FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. On this episode, leaders from FINRA's Exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams.
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