Sylvia Scott is an attorney at the Los Angeles-based law firm Freeman, Freeman, and Smiley. An experienced regulatory attorney that has worked as a lawyer at FINRA, the SEC, and the United States Department of Justice, Sylvia Scott authored an article titled Broker Dealer Practice Tips: Preparing for Your Next Risk-Based Regulatory Examination.

1. Sylvia Scott, Attorney

2.  Sylvia Scott is an attorney at the Los Angeles-based law firm
Freeman, Freeman, and Smiley. An experienced regulatory
attorney that has worked as a lawyer at FINRA, the SEC, and
the United States Department of Justice, Sylvia Scott authored
an article titled Broker Dealer Practice Tips: Preparing for Your
Next Risk-Based Regulatory Examination.
The article contains specific advice for broker-dealers in the
financial community on how to best navigate regulatory cycle
examinations. These examinations, conducted routinely by the
Financial Industry Regulatory Authority (FINRA) and the
Securities and Exchange Commission (SEC), also include
several other types of exams, including cause and sweep
exams.

3.  -Cycle examination: Also referred to as a routine
exam, cycle exams occur on a regular basis using a
risk-based methodology to address lawful compliance
with financial regulations.
-Sweep examination: This type of examination
focuses on a specific issue rather than broad
compliance. The goal of this exam type is to identify
how the issue is being addressed by firms in the
financial marketplace.
-Cause examination: Similar to oversight
examinations, these exams typically occur in response
to an issue or regulatory violation.