Year in Review: The 2020 Exam and Risk Monitoring Program

Published: March 23, 2021, 11:30 a.m.

2020 was a year of great change and transition for FINRA\u2019s Exam and Risk Monitoring Program\u2014and the pandemic wasn\u2019t even the start of it. On this episode, the first in a two-part series, we hear how the program faired in its first year after a major transformation.