Market Conduct Examinations


Summary

This practice note addresses the purpose, scope, and navigation of a market conduct examination. There are several different types of market conduct examinations: single state exams, targeted and comprehensive exams, multi-state exams, and federal exams. This practice note discusses available tools to make the market conduct process consistent and thorough, regulations around reporting and remediation, as well as how to reduce the likelihood of becoming the target of an examination.