13.3 Regulatory Inspections and Audits

In this section

• Examination Processes for Broker-Dealers: Understanding FINRA and SEC Inspections
  Discover the intricacies of broker-dealer examination processes by FINRA, SEC, and state regulators. Learn about the purpose, types, and steps involved in regulatory inspections to ensure compliance and investor protection.
• Responding to Regulatory Requests
  Master the art of responding to regulatory requests in the securities industry with our comprehensive guide. Learn best practices, understand the importance of truthful representations, and explore the consequences of non-compliance. Equip yourself with the knowledge to handle regulatory inquiries effectively and maintain compliance with FINRA guidelines.