FINRA’s Examination and Risk Monitoring Program


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About This Course

Attend this session to learn about the firm grouping structure and lessons learned during implementation.

During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward.

After attending this session, you will be able to:

  • Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs
  • Discuss Risk Monitoring activities
  • Discuss what firms can expect from the Exam Program and the Exam planning process
  • Understand the role of Specialists in Exams and Risk Monitoring

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Online, Audio CD, DVD, iOS/Android App, USB Stick

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