FINRA Podcast: A Few Minutes with FINRA (Primarily on Its Examination Program)

FINRA released a September 2013 podcast in which Executive Vice President of Regulatory Operations Susan Axelrod provided an update on FINRA's examination program, including a newly implemented process for submitting examination-related documents through the Firm Gateway. In the podcast, Axelrod described changes to the exam program that have made it more risk-based. Additionally, she explained the new electronic data collection process which aims to avoid examiner paperwork, as well as organizes firm requests to FINRA so as to avoid duplicative requests to multiple departments.

To listen to the podcast, click here.