FINRA - Education & Programs - Webcast - What to Expect: Preparing for an NASD Routine Examination

Online Learning

E-Learning Courses

Online Workshops

Webcasts for Frontline Staff

"What to Expect" Webcast Series

Archived Conference Sessions

Home > Education & Programs > Online Learning > "What to Expect" Webcast Series
Printer-Friendly What to Expect: Preparing for a FINRA Cycle Examination

FINRA has created this webcast to take the mystery out of FINRA's regulatory processes. Featuring an introduction from FINRA CEO Mary Schapiro and presented by FINRA examination staff, the webcast explains in plain English what to expect before, during and after a cycle examination.

View Webcast

Related Resources:

Preparing for a FINRA Cycle Examination - Print Guide (PDF 77 KB)

Letter Highlighting Exam Priorities

Written Supervisory Procedures Checklist

Improving Exam Results

Audio-Only Version (podcast)

Contact Us

Important Viewing Notes:

Access

Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.

Required Software

Accessing the webcast requires Macromedia Flash 8.0 or higher.

Download Macromedia FlashPlayer

Required Hardware

Your computer must have a sound card and speakers (internal or external) in order to hear the webcast.

Online Learning

What to Expect: Preparing for a FINRA Cycle Examination