The "What to Expect" Webcast Series

"What to Expect" webcasts are free, on-demand video presentations 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.

 

Frontline staff should visit the Webcasts for Frontline Staff page. Investors who wish to access industry information and investor services are encouraged to visit the Investor Information area of our site.

 

The following webcasts are now available for viewing:

• What to Expect: Filing Communications for FINRA Review  
• What to Expect: The FINRA Rulemaking Process
• What to Expect: Preparing for a FINRA Cycle Examination
• What to Expect: Anti-Money Laundering Reviews During Routine Exams  
• What to Expect: The U4 and U5 Filing Process 
• What to Expect: Filing a Change in Membership Application
  
  

Other topics coming soon include: Dispute Resolution.