Broker-Dealer Non-OSJ Branch Office Audit Review Template

The updated Broker-Dealer Non-OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal compliance inspection in accordance with FINRA Rule 3110(c)(1)(B) whereby each member shall inspect at least every three years every branch office that does not supervise one or more non-branch locations. 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 including Reg BI/Form CRS information.  Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Office Preliminary Exam Records Request List (RRL).

Version/Update: V.7/ November 1, 2023

Total Page Count/Format: 47/.docx

Source/Author(s): Connexien