Broker Dealer Solutions
 
 

Regulatory Examinations

... early detection of possible compliance issues ...
B/D Solutions will conduct the same regulatory examinations that FINRA may sometimes give your Home Office, OSJ, or Branch Office. The benefits of mock regulatory examinations include early detection of possible compliance issues, a general understanding of the FINRA examination procedure, and prevention of an issuance of a fine should FINRA conduct an examination of your firm.

 

 

 

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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