FINRA Examination Program and Exam Priorities

On-Demand Program

 

This on-demand video presentation focuses on FINRA's examination program and covers sales practice, financial and operational, and market regulation areas. Panelists discuss recent updates to the exam program, examination frequency, how to prepare for an exam, the exam process, exam dispositions and current examination priorities. Panelists discuss elements of FINRA's examination programs, including frequency, firm preparation, process, priorities, and dispositions. Based on the examination program plenary session from the 2008 FINRA Spring Securities Conference, this session adds online resource materials, a session transcript and the convenience of on-demand access from your own computer. The FINRA Examination Program and Exam Priorities video presentation lasts approximately 109 minutes.


Registration Fees

 

Member

 Non-Member

 $25

 $50


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How to Register

 

Online

Register for the FINRA Online Workshop On-Demand Program
($25 - FINRA member rate or $50 - non-member rate).

Phone

To register by phone, please call (212) 858-4119.


Note: A confirmation email will be sent to you upon receipt of payment.

 

If you have questions regarding the Online Workshops, you can visit our Online Workshops FAQ, or email us.

 


FINRA's Online Workshops are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the Online Workshop does not constitute any NASD 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 NASD rules, the rules of any other SRO, or securities laws. Use of this Online Workshop does not create a safe harbor from regulatory responsibility. This Online Workshop is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the Online Workshops in any form, nor reference them in any publication, without the express written consent of FINRA.

 

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media