A Career Highlight: Exam and Risk Monitoring Program Transformation Update

Published: Dec. 10, 2019, 1:41 p.m.

FINRA\u2019s examination and risk monitoring program is in the midst of a largescale transformation to make FINRA a more effective, agile and risk-focused regulator. On this episode, Executive Vice President Bari Havlik provides an update on where the group is one year later.