WASHINGTON -- Firms might not relish a visit from FINRA examiners, but there are steps they can take to make the experience a smoother and stay in the regulator's good graces.

A FINRA official and two brokers who recently went through exams discussed the process at the regulator's annual conference, and generally agreed that routine cycle exams don't have to be the regulatory equivalent of a root canal.

Register or login for access to this item and much more

All On Wall Street content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access