LIMRA Audit Services

Featuring an experienced examiner network

If FINRA 3130, Regulatory Notice 11-54, and NASD Rule 3010 have placed a strain on your firm, LIMRA Audit Services can help. Wholesale and retail broker-dealers rely on our examination experts and nationwide network of experienced examiners, turning to this scalable, cost-effective solution to inspect:

• Branch offices
• OSJs
• Non-registered locations

Clients know that our experienced examiners understand the business, challenge assumptions, and have a sixth sense for asking the right questions. We train examiners on the specific requirements of your firm's Compliance policies and procedures.

We understand the relationship between risk mitigation and the branch office inspections process. To help you better meet supervisory regulations and identify areas for remediation, we can advise you on your inspection template.

News Release

SEC Staff and FINRA Issue Risk Alert on Broker–Dealer Branch Office Inspections (Nov 30, 2011)

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