FINRA - Education & Programs - What to Expect: Preparing for a FINRA Cycle Examination

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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 Chairman and 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.

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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)

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