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Keywords: Branch office
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Journal Articles
Heightened supervision of branch offices
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (2): 18–21.
Published: 06 July 2015
... – Summarizes FINRA’s rules requiring firms to implement branch inspection programs; examines the SEC’s and FINRA’s joint 2011 National Examination Risk Alert, which expanded upon FINRA’s rules, requiring firms to conduct risk-based analyses on each branch office to determine the appropriate frequency...
