Our Broker-Dealer OSJ Branch Office Audit Review Template Annual Subscription Updates are designed to keep broker-dealers informed and 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 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