What to Expect: Preparing for a FINRA Cycle Examination
FINRA has created this webcast to take the mystery out of FINRA's regulatory processes. 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 (DOC 1485 KB)
Audio-Only Version (podcast) |
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