A Trilogy in Five Parts

From “Don’t panic” to “So once you do know what the question actually is, you’ll know what the answer means” to “I don’t know what I’m looking for . . .” to “Life’s bad enough as it is without wanting to invent any more of it” to (finally) “So long and thanks for all the fish“, all of the Tips from the Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam are available in one document.

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Because broker-dealers, registered investment advisers and their associates want to spend their time serving their clients, not the SEC, FINRA or state regulator.

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Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 5

Your day was going great.  You helped a client with a particularly complex situation.   Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home.  Then you received a message from a “@sec.gov” or “@finra.org” email address, which...

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 5 Continue reading…

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 4

Your day was going great.  You helped a client with a particularly complex situation.   Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home.  Then you received a message from a “@sec.gov” or “@finra.org” email address, which...

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 4 Continue reading…

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 3

Your day was going great.  You helped a client with a particularly complex situation.   Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home.  Then you received a message from a “@sec.gov” or “@finra.org” email address, which...

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 3 Continue reading…

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 2

Your day was going great.  You helped a client with a particularly complex situation.   Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home.  Then you received a message from a “@sec.gov” or “@finra.org” email address, which...

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 2 Continue reading…

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 1

Your day was going great.  You helped a client with a particularly complex situation.  Another client submitted the paperwork to transfer accounts to your firm.  You did not have to deal with a bulldozer trying to demolish your home. 

Then you received a message from a “@sec.gov” or “@finra.org” email...

Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 1 Continue reading…

The 2022 Report on FINRA’s Examination and Risk Monitoring Program

The 2022 Report is Worthy Reading for Every Compliance Officer If you are in the broker-dealer industry, reading the 2022 Report on FINRA’s Examination and Risk Monitoring Program is worth your time and attention – especially if you are a supervisory principal or other compliance officer. FINRA not only highlights key issues in...
The 2022 Report on FINRA’s Examination and Risk Monitoring Program Continue reading…