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FINRA Branch Exam Program

Regulatory Maven Launches FINRA Branch Exam Program

LONDONDERRY, NH: Regulatory Maven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms, announces the launch of their FINRA Branch Exam Program.

“FINRA routine exams have expanded greatly over the past few years. Last year, examinations of the firm’s branch office network were a review of internal audits – this year, the exam requirement includes on-site visits, particularly the high risk offices,” said Dennis McCarron, CEO and co-founder. McCarron added, “these on-site exams are far more encompassing than the CCO or Branch Manager may be anticipating”. Regulatory Maven designs tailored programs for each client engagement to fit the firm’s risks, resources and business.

Regulatory Maven has a proactive compliance consulting culture and is always looking for new solutions to bring to market. “Our Branch Exam Program is uniquely designed to work with any size broker-dealer, with registered branch offices” says Steve Kenda, CFO and co-founder. He adds, “We have found that many broker-dealers do not possess the internal resources to effectively implement a branch exam program, especially with the new focus by FINRA. Dennis has designed a program which will assist the CCO in addressing branch exams with FINRA in mind”.

About Regulatory Maven

Regulatory Maven brings the knowledge and experience of financial industry professionals to structure and protect our clients’ businesses in this demanding regulatory environment while remaining faithful to and reflecting their vision.
Regulatory Maven was founded in May 2013 by Dennis McCarron and Steve Kenda. The company is located in Londonderry, New Hampshire and provides a complete suite of securities compliance services to Broker-Dealer and Registered Investment Advisor firms. Regulatory Maven delivers distinctive expertise and exemplary results. For additional information about Regulatory Maven please visit www.regmaven.com or call us at 603.965.7791.

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