Broker-Dealer Non-OSJ Branch Office Audit Review Template
SKU: 9082387259

Broker-Dealer Non-OSJ Branch Office Audit Review Template

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Description

Broker-Dealer Non-OSJ Branch Office Audit Review TemplateThe updated Broker Dealer Non OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal compliance inspection in accordance with FINRA Rule 3110(c)(1)(B) whereby each member shall inspect at least every three years every branch office that does not supervise one or more non branch locations. The review shall be reasonably designed to assist the member in detecting and preventing violations of, and achieving

The updated Broker-Dealer Non-OSJ Branch Office Audit Review Template is designed to meet the requirements for an internal compliance inspection in accordance with FINRA Rule 3110(c)(1)(B) whereby each member shall inspect at least every three years every branch office that does not supervise one or more non-branch locations. The review shall be reasonably designed to assist the member in detecting and preventing violations of, and achieving compliance with, applicable securities laws and regulations, and with applicable FINRA rules including Reg BI/Form CRS information.  Members also downloaded the OSJ Branch Preliminary Audit Questionnaire (PAQ) and OSJ Branch Office Preliminary Exam Records Request List (RRL).

Version/Update: V.7/ November 1, 2023

Total Page Count/Format: 47/.docx

Source/Author(s): Connexien

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SKU: 9082387259

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4.7 ★★★★★
Based on 910 reviews
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Product Reviews
S
Verified Purchase
Steve Cook
Cuba, US
★★★★★ 4
Well-designed but might not fit smaller phones
Color: BLACK
This is a very nice product. My only complaint is that it is not well-suited for my older Samsung S22 phone, because the phone sits so low I. The cradle that its power button is inaccessible. I solved that by fastening a small spacer onto the bottom edge of the cradle, and now it works very well. It would be a better product if the bottom edge of the cradle could be adjusted. Aside from that minor issue, it automatically grips the phone and holds it firmly, and there's a built-in battery so the ungripping process functions even after the ignition is turned off and power to the cradle is shut off.
WAS THIS REVIEW HELPFUL?YesReportShare
Reviewed in the United States on January 25, 2026
C
Verified Purchase
Chel
Fort Morgan, US
★★★★★ 5
Works Great
Color: BLACK
I really like the automatic closing feature when my iPhone is placed on the charger. I have a Pro Max and I thought the phone might be too heavy for the clasp and would move while driving. I have used both the suction cup and vent connector to hold charger and phone without it moving. The device also must have a capacitor or battery, as when the power is off to the holder, you can still press the release button and the charger opens to release the phone
WAS THIS REVIEW HELPFUL?YesReportShare
Reviewed in the United States on May 24, 2026
D
Verified Purchase
Dave M
West Palm Beach, US
★★★★★ 3
Not a reliable charger
Color: BLACK
The car holder portion of this item is incredible. It automatically closes around your phone when it detects it and keeps it very snug. You press a button on the side to release and that's it. Now the charging part of this is pretty bad. i understand that wireless chargers are not as fast as wired but when i use this it would take over 3 times as long as a wired charger. If a plug says 45 min to charge this would take at least 2 and a half hours. It is great for roadtrips or if you drive constantly but for any short trips the charging is negligable. I also have used it without a case to see if that was the issue and it was not. At the very least it keeps your phone at the same charge on short trips so I guess that's good.
WAS THIS REVIEW HELPFUL?YesReportShare
Reviewed in the United States on April 18, 2026
K
Verified Purchase
Kaiden S.
Belleville, US
★★★★★ 5
Great product, great for the delivery drivers out there
Color: BLUE
If you are debating about getting this dash mount, get it. I haven't fully tested the wireless charging but I have a pretty uneven surface and it sticks extremely well, the holders that hold the phone are electronic and they sense whether or not the phone is in there once open so it won't just close randomly. If you turn the car off, you can release it, go away for a few minutes and then come back, set the phone on there, and turn the car back on, and after a few seconds it will clamp. If you press the button while the car is off it will clamp as well. I would recommend testing whether or not it wireless charges on whatever one you get, just in case of a defect, and you don't even need to take the film off to test it. This one is one hundred percent worth the money..
WAS THIS REVIEW HELPFUL?YesReportShare
Reviewed in the United States on April 25, 2026
A
Verified Purchase
Amy
Cuba, US
★★★★★ 5
Versatile for any phone size.
Color: BLACK
My husband loves us so much he bought 2. I like how itself adjust to the phone once it's seated.
WAS THIS REVIEW HELPFUL?YesReportShare
Reviewed in the United States on May 15, 2026

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