How FINRA Is Enhancing Member Firm Examinations
From FINRA Unscripted by FINRA
May 5, 2026 · 35 min · Episode 187
About this episode
This episode discusses how FINRA is enhancing firm examinations to improve efficiency while ensuring investor protection.
On this episode of FINRA Unscripted, find out how FINRA is enhancing firm examinations through streamlined first firm exams, extended cycles for lower-risk firms, targeted data requests, and advance exam notices. Learn how these changes improve efficiency while maintaining robust investor protection and market oversight.
Topics covered
- firm examinations
- investor protection
- market oversight
- efficiency
- regulatory changes
Keywords
- FINRA
- firm examinations
- investor protection
- market oversight
- regulatory efficiency
Mentioned in this episode
Organizations: FINRA
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