Series 99: 3.4.2.1 Internal Inspections And Annual Compliance Meetings

Taken from our Series 99 Top-off Online Guide

3.4.2.1 Internal Inspections and Annual Compliance Meetings

Members must conduct annual internal inspections at every OSJ and every branch office that supervises a non-branch office to ensure compliance with securities laws. Other branch offices must be inspected every three years. Inspections must include a review of customer account records to detect irregularities or abuses. They must also test and verify the member’s policies and procedures with rega

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