FINRA Examination Program Webinar

Original Program Date: October 9, 2012

This free webinar focuses on the FINRA examination program, how it is changing and how firms can best prepare for their exam. During this 90-minute webinar, FINRA staff and industry experts discuss the new risk-based examination process, including the risk factors involved and FINRA’s use of the Risk Control Assessment survey results. Panelists also cover exam findings, leading industry practices, and ways firms can assist the examination process, with particular attention to outside business activities, written supervisory procedures and suitability.

 

Panelists

  • Susan Axelrod, Executive Vice President, FINRA Office of Sales Practice
  • Chip Jones, Senior Vice President, FINRA Member Relations (moderator)
  • Lisa Roth, Chief Executive Officer and Chief Compliance Officer, Keystone Capital Corporation
  • Paul Tolley, Chief Compliance Officer, Commonwealth Financial Network
  • George Walz, Vice President, FINRA Regulatory Programs

 

Register Now

Complete the online registration form. A confirmation email will be sent after your registration has been processed. 

 

Registration for the FINRA Examination Program Webinar

 

For registration or technical questions call (800) 321-6273.

 

 
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
 
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, compliance boot camps, FINRA Institute at Wharton and webinars are closed to journalists.