Branch Office Inspections Webinar
Original Program Date: February 8, 2012
This free video webinar focuses on branch office inspections. FINRA and SEC staff along with industry panelists will discuss common branch deficiencies and risk-based branch office inspection policies and procedures. Panelists also share—from small and large firm perspectives— tips, techniques and resources they use to maintain an effective branch office inspection program. Participants may submit questions during the live, 75-minute program.
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FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
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