Branch Office Inspections

FINRA requires the inspection of branch office and non branch office locations per FINRA Rule 3010. This rule requires inspections for certain locations (Office of Supervisory Jurisdiction or OSJ) to occur at least annually.

Greico can conduct branch office inspections that will assess the supervision and controls in place at your firm and fulfill this requirement. In addition, Non-OSJ Branches must be visited at least every three years.We can provide a report detailing the reviews conducted, findings and recommendations to enhance your branch office compliance program.

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