In this second part of our video blog series, attorney Joel Beck discusses common ways that FINRA examiners conduct regulatory examinations (investigations) of registered representatives and broker-dealers. Those involved in a FINRA exam typically want to understand how information is gathered and from whom, and seek to understand more about the process in general. This video blog series was designed to help address some of these very common questions.
To learn more about how these regulatory exams start, see the first installment in this series. And, watch for future posts that will discuss informal dispositions, formal actions including AWC settlement agreements, the FINRA hearing process, and more.
Understand that these posts are designed to answer some basic questions, but they aren’t a substitute for legal advice. If you are the subject of a FINRA exam, treat it seriously, as it can have a significant impact on your career. For more information on the exam process, download our e-book, A Stockbroker’s Guide to Regulatory Investigations, at www.brokerdefender.com. And if you’d like to speak with a lawyer about your FINRA exam matter, contact us at The Beck Law Firm, LLC at (678) 783-3675, or visit us online at www.thebeckfirm.com.