BD- Broker-Dealer OSJ Branch Office Audit Review Template

$1,250.00

The Broker-Dealer OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal annual compliance inspection in accordance with FINRA Rule 3110(c) whereby each member shall conduct a review, at least annually (on a calendar-year basis), of the businesses in which it engages. The review shall be reasonably designed to assist the member in detecting and preventing violations of, and achieving compliance with, applicable securities laws and regulations, and with applicable FINRA rules.  Members also downloaded the OSJ Branch Preliminary Audit Questionnaire  and OSJ Branch Preliminary Exam Records Request List.

Version/Update: V.1/ June 2, 2017

Total Page Count/Format: 26/.docx

Source/Author(s): Connexien