# Audit

FINRA Compliance. Is Your Firm Prepared for its Routine Examination?

by James Pfeiffer | Last updated Jun 12, 2019

The Financial Industry Regulatory Authority (FINRA) regulates 3,600 member firms and nearly 630,000 registered reps and conducts over 2000 member firm examinations each year. FINRA conducts routine examinations of broker-dealers checking for compliance with industry...

Data Validation in The Age of Audits

by Kristefor Lysne | Last updated May 15, 2019

Like it or not, we are living in the age of audits. From internal teams that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour over client data. The financial services industry has endured these necessary headaches for years, and until...

# Audit

FINRA Compliance. Is Your Firm Prepared for its Routine Examination?

Data Validation in The Age of Audits

Subscribe to Our Blog

4 Ways to Improve Your Firm’s Month-end Close Process

FINRA Compliance. Is Your Firm Prepared for its Routine Examination?

Plan for Success: Advisor Compensation Research

Talent Retention: 5 Best Practices to Retain Top-performing Advisors

3 Reasons to Focus on Financial Advisor Job Satisfaction

Newsletter Sign Up

Thank you for subscribing!