How to Use FINRA Sweeps To Your Advantage - We Do and You Can, Too

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - August 31, 2023 13:00 - 29 minutes - 20 MB - ★★★★★ - 7 ratings
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Previous Episode: Registering a Broker-Dealer: The NMA and CMA Process Explained

Next Episode: Bond Dealer's Association Podcast: Listening Sample

Regulatory exams and sweeps are enough to keep any CCO up at night. In today’s podcast, Ed Wegener and Len Derus, both former FINRA regulators, walk through what helps inform regulator decisions about what to look for in an exam, how regulators identify areas for a sweep, and how you can use sweep letters to your advantage.

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