Our goal is to correct compliance problems before the SEC, FINRA, state or other regulatory agency arrives. To this end, Mallon & Johnson conducts mock broker-dealer examinations that provide comprehensive reviews of existing and new regulations implemented by these regulatory bodies, and can include reviews of the following areas:

Supervisory Controls
Business Continuity Planning
Email Retention Procedures
Order Audit Trail System (OATS) Reporting
Sales of New Products
Use of Electronic Systems
OSJ and Branch Office Supervision
Municipal Transaction Reporting

Initially, to determine the extent of the review and cost, we meet with supervisory personnel, review the firm’s Form B-D, past quarterly and annual filings, and its written compliance and supervisory policies and procedures.

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