FINRA Exam Preparation

We can provide FINRA Exam Preparation and inquiry support. We help broker-dealers manage regulatory examinations to ensure efficient production of documents and reduce the regulatory burden.

We can be available at all times necessary to assist your broker-dealer through the examination process, and help you respond to information and document requests from regulators. The FINRA Web Information Request (“Web IR”) system is an electronic system utilized by FINRA to gather information about your firm prior to a FINRA examination.

FINRA will ask your firm to complete this request before they arrive to conduct an examination. We can help your firm complete this request and will be available to answer any questions you may have.

At the end of the examination, the FINRA examiners will provide an “Examination Report”, which will list any exceptions they may discover. The Examination Report is required to be responded to in writing by your broker-dealer, usually due within 30 days of the date of the letter. We can assist with any response necessary, take any corrective actions as needed, and draft the response for you.