Our Broker-Dealer Non-OSJ Branch Office Audit Review Template Annual Subscription Updates are designed to keep firms updated on material changes to the regulatory landscape that may impact their internal audit processes. Our one-time fee for Annual Updates covers regulatory updates to new and existing SEC & FINRA rules and regulatory notices for members using our Non-OSJ Branch Audit Template.  All subscribers to our updates post purchase will receive a unique code for downloading updated versions in tracked changes format for easy identification of updates and to make any additional customized edits as appropriate.

Version/Update: V.U/January 1- December 31, 2024

Total Page Count/Format: varies (per update)/.docx

Source/Author(s): Connexien