About This Course
This program provides guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies.
After attending this session, you will be able to:
- Discuss common findings in various regulatory areas and related supervisory deficiencies.
- Identify controls, procedures and processes that member firms are incorporating into their respective supervisory systems to address these deficiencies.
- Better understand other regulatory areas that warrant attention.
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.