Finra Unscripted

In 2018, FINRA embarked on a large-scale transformation of its examination and risk monitoring program to make FINRA a more effective, agile and risk-focused regulator. A lot of progress has been made in the last year. The group is in the process of realigning around the business models of FINRA member firms, introducing a new single point of accountability and installing a new senior leadership team.On this episode of FINRA Unscripted, Bari Havlik, Executive Vice President of Member Supervision, tells us more. Resources mentioned in this episode:Episode 21: Introducing Bari HavlikFINRA Examination Program ImprovementsA Few Minutes with FINRA: Creating a Single, Unified Examination Program