2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate)

This lab will highlight certain unique differences between State, FINRA, and SEC BD exams and identify best practices to prepare for and manage a BD regulatory exam from receipt of an exam request through the final exam report.   Lab facilitators will discuss the importance of developing a rapport with the exam staff and provide perspectives on managing overlapping exams, dealing with unreasonable exam staff or requests, handling potential deficiencies, and addressing exam outcomes.  Lab facilitators will also share ways to manage employee interviews during an exam.  This session is closed to both regulators and members of the press.

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