FINRA’s Examination Program: Optimizing for the Future

Update: 2024-09-03

Description

FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the program, the team has undertaken changes to create efficiencies before, during and after the exam process.

On this episode, Michael Solomon, executive vice president of Examinations and the Membership Application Program, Tom Mellett and John Martino, both vice president of Firm Group Examinations, join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.

Resources mentioned in this episode:

Episode 132: The Ins and Outs of FINRA’s Annual Program

2024 Regulatory Oversight Report

Targeted (Sweep) Exam Letters

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FINRA’s Examination Program: Optimizing for the Future

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FINRA’s Examination Program: Optimizing for the Future

FINRA

FINRA’s Examination Program: Optimizing for the Future