"What to Expect" From FINRA Processes

Effective January 1, 2012, the webcast portion of the “What to Expect” series has been retired. However, the corresponding resource documents—which contain the same material and additional resources—remain available in PDF format.

 

The "What to Expect" series is aimed at taking the mystery out of key regulatory processes and making firms' interactions with FINRA more productive and efficient. This series is ideal for anyone who interacts with FINRA, particularly compliance professionals, operations staff, branch managers and more.

 

Investors who wish to access industry information and investor services are encouraged to visit the Investor Information area of our site.