Branch Compliance (3110): Branch Exams

Get In Touch

Reduce risks and meet inspection requirements on a regular basis. We designed our branch examination services to improve your firm’s control environment.

Confidently Achieve Regulatory Compliance

Ensuring compliance with FINRA Rule 3110 is paramount to mitigating risks for your firm. Our experienced professionals will work closely with your firm to conduct thorough branch exams.

We can help your firm avoid regulatory findings by identifying areas where rules are not being followed. Then, we will help your make the necessary changes to ensure compliance. Our goal is to provide you with the peace of mind that comes from knowing your branch operations are in full compliance with regulatory requirements.

Contact About Branch Exams

Meet Supervisory Responsibilities with Ease

Ensure that your branch operations are running smoothly. We’re dedicated to providing you with the support and guidance you need to stay ahead of regulatory changes. We offer a range of tailored solutions to meet your firm’s needs, including:

  • An outsourced branch exam process.
  • Comprehensive program reviews that help you meet inspection requirements.
  • We offer tailored Branch Exam services at your branch locations, as well as remote examinations. These exams cover supervisory controls, operating procedures, and office security protocols.
  • Providing licensed outsourced professionals for end-to-end compliance support.
Partner With Our Professionals

Compliance Software That Simplifies Processes

Streamline your firm’s branch office reviews and risk assessments with Oyster Solutions, our proprietary software platform. Oyster Solutions software facilitates efficient branch exams. Our role-based approach ensures a thorough examination of critical areas, enhancing your firm’s compliance capabilities. With a comprehensive risk inventory based on your products, organizational structure, and relevant regulations, you’ll know which areas to prioritize.

Oyster Solutions simplifies the exam process and ensures that your firm is always prepared. When you use Oyster Solutions, you’ll have all of your compliance data and documentation in one secure location. Trust Oyster Solutions to streamline your compliance processes.

Demo Oyster Solutions Software

Regulatory Background

FINRA Rule 3110 mandates broker-dealers to establish and maintain supervisory systems reasonably designed to achieve compliance with applicable securities laws and regulations.

We help broker-dealers meet the requirements of FINRA Rule 3110. Our team of experts is available to provide guidance and support every step of the way, giving firms peace of mind as they focus on growing their business.

Contact Our Regulatory Experts

The Oyster Difference

With Oyster Consulting, your compliance program will be in good hands. Our team is dedicated to helping your business navigate the complexities of regulatory compliance. Our experts have the knowledge and experience to help you effectively manage risks and meet regulatory requirements. We take a reasonable approach to compliance, ensuring that your business is well-prepared for any challenges that may arise.

Don’t hesitate to reach out to us for more information on how we can support your compliance efforts. Trust us to ensure that your firm is well-positioned to meet its inspection obligations.

Meet Our Consultants

Case Study


Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.


Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.


Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

Learn More

Read The Full Case Study

Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

Read Now