Implementing a Risk-Based Program and Identifying Red Flags

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

About This Course

This CLE program provides guidance on implementing an effective risk-based branch office inspection program.

After attending this session, you will be able to:

  • Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams.
  • Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective.
  • Understand how FINRA uses technology, tools and data to support and modernize the risk-based examination framework.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

Lecturers for this Course

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

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

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options