Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead

Published: April 6, 2021, 11:30 a.m.

b'Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.'