A Few Minutes with FINRA: Nine Risks That Inform FINRA’s Examination and Surveillance Program

January 18, 2017

Bill Wollman, FINRA’s Executive Vice President for the Office of ROOR; and Mike Rufino, FINRA’s Executive Vice President for the Office of Sales Practice, define the nine risks that inform FINRA’s risk-based examination and surveillance program, and provide examples of what staff looks for when assessing a firm’s risk. (19 min. 52 sec.)