REGULATORY BRANCH OFFICE AUDITS
FINRA Regulatory branch office audits, including Offices of Convenience, are completed via
an on-site visit or electronically via ZOOM.
Audits are performed using your forms, or if you prefer, we will use broker/dealer and
investment adviser forms and questionnaires that had been developed by
B/D Compliance Consultants, Inc.
Branch Office audits are conducted according to your specific instructions or as outlined in your
Written Supervisory Procedures Manual.
REGULATORY BRANCH OFFICE AUDITS – ON-SITE AND ELECTRONIC
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092
REGULATORY BRANCH OFFICE AUDITS
FINRA Regulatory branch office audits, including Offices of Convenience, are completed via
an on-site visit or electronically via ZOOM.
Audits are performed using your forms, or if you prefer, we will use broker/dealer and
investment adviser forms and questionnaires that had been developed by
B/D Compliance Consultants, Inc.
Branch Office audits are conducted according to your specific instructions or as outlined in your
Written Supervisory Procedures Manual.
REGULATORY BRANCH OFFICE AUDITS – ON-SITE AND ELECTRONIC
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092