Series 82: 2.1.4.7. Internal Inspections

Taken from our Series 82 Online Guide

2.1.4.7. Internal Inspections

Registered principals 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. It must test and verify the member’s policies and procedures with

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