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FINRA Unscripted

Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms

21min2022 MAR 8
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The Report on FINRA’s Examination and Risk Monitoring program is an important reference document addressing more than 20 topics of interest for firms and regulators. On this episode, we talk to three members of the Member Supervision team about some key highlights and how firms can use this extensive document.

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