Series 26: Review Standards For Annual Internal Inspection

Taken from our Series 26 Online Guide

Review Standards for Annual Internal Inspection

In preparing for its annual internal inspection, a FINRA member firm must conduct an annual review of its various businesses to detect and prevent violations and to ensure its compliance with securities rules and regulations.

Review procedures must consider each of the following:

• its size and organizational structure

• the number and location of its offices

• the nature and complexity of the products and services it offers

• its volume of business

• the numbe

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