Supervision Program Setup | Branch Audit Agent

Intake

Rules

Config

Dashboard

Detail

⚖️

Not Legal Advice — This tool generates supervisory analysis for demonstration purposes. All outputs should be reviewed by qualified compliance professionals before implementation.

Branch Network

Describe your firm's office structure and supervisory hierarchy.

Total Branch Offices

OSJ Locations

Registered Representatives

Supervisory Model

Office Types in Your Network

Select all office types that apply to your firm.

Examination & Audit Schedule

How does your firm conduct supervisory examinations?

Branch Exam Frequency

Last FINRA Exam

Exam Types Conducted

Continuing Education Tracking

How does your firm manage advisor CE requirements?

CE Tracking Platform

Firm Element Frequency

Current Pain Points

← Back to Legal Optimizer Continue to Rules →

🏛️ Supervision Program Setup

Branch Network

Office Types in Your Network

Examination & Audit Schedule

Continuing Education Tracking