Gearing up for that dreaded regulatory exam is a little easier when you know what might trigger it and what to expect. A FINRA representative who spoke at the regulatory organization’s annual conference this week explained why branch office visits are now favored over home office visits. Read the Financial Planning story below for more of her comments and for tips on how to handle the exam process. Also this week, FINRA announced that it fined LPL $7.5 million—the largest fine ever–for email failures and also ordered the firm to establish a $1.5 million fund to compensate affected customers. Investment News has the story, below.