As a broker/dealer, each firm is required to inspect their branch offices and Offices of Supervisory Jurisdiction (OSJs) according to a reasonably designed schedule. Broker/Dealers also need to conduct an annual internal inspection of the businesses in which it engages (see FINRA Rule 3010).
Are you unsure when it comes to focusing your branch office reviews? Do you want to make sure that your reviews cover all regulatory "hot button issues"?
Contact MCD Consulting to develop an efficient and effective branch office examination plan. MCD will work with you to design your own exam schedule and module for your firm that is tailored to each specific location.
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