📢 Compliance Checklist: Preparing for a FINRA Exam FINRA exams can be daunting, but preparation can make all the difference. ✅ Checklist for a Smooth Exam: 🔹 Review customer account documentation and communications 🔹 Ensure policies align with current FINRA rules 🔹 Conduct mock audits to identify gaps 💡 Pro Tip: Document all corrective actions to demonstrate proactive compliance efforts. Need assistance with exam readiness? Compliers Consulting Services LLC can help. #FINRACompliance #BrokerDealerRegulations #RegulatoryAudits #CompliersConsulting
