FINRA’s Examination Program: Optimizing for the Future

FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the program, the team has undertaken changes to create efficiencies before, during and after the exam process. On this episode, Michael Solomon, executive vice president of Examinations and the Membership Application Program, Tom Mellett and John Martino, both vice president of Firm Group Examinations, join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.Resources mentioned in this episode:Episode 132: The Ins and Outs of FINRA’s Annual Program2024 Regulatory Oversight ReportTargeted (Sweep) Exam Letters Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

Episode metadata supplied by the publisher feed · Published Sep 3, 2024

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FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.

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FINRA’s Examination Program: Optimizing for the Future

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