Year in Review: The 2020 Exam and Risk Monitoring Program

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

b'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.'