Annual FINRA Rule 3012 & Supervisory Control Reports

Annual FINRA Rule 3012 reviews and Supervisory Control Reports are a critical regulatory requirement for broker-dealers, designed to assess the effectiveness of supervisory systems, internal controls, and compliance oversight. DuMont Consulting provides comprehensive Rule 3012 review services that go beyond minimum regulatory expectations, helping firms identify supervisory gaps, mitigate risk, and strengthen overall compliance frameworks.

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Our consultants conduct a detailed evaluation of your firm’s supervisory control policies, testing how supervisory systems operate in practice across key risk areas such as sales supervision, communications monitoring, trading oversight, customer complaints, conflicts of interest, and escalation procedures. We assess whether supervisory controls are appropriately designed, consistently implemented, and adequately documented to meet FINRA requirements and examination standards.

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DuMont prepares clear, well-documented Supervisory Control Reports that demonstrate a firm’s commitment to ongoing compliance and effective risk management. These reports not only satisfy annual Rule 3012 obligations but also provide senior management with actionable insights into compliance program strengths, weaknesses, and opportunities for enhancement. Our approach ensures findings are practical, prioritized, and aligned with the firm’s size, business model, and regulatory risk profile.

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As part of our outsourced CCO services for investment firms, Annual FINRA Rule 3012 reviews become an integrated, value-driven process rather than a regulatory checkbox exercise. We align annual reviews with Written Supervisory Procedures (WSPs), training programs, and prior examination findings to ensure continuity and consistency across the compliance program. This proactive methodology supports ongoing supervisory improvements and reduces the likelihood of repeat deficiencies during regulatory exams.

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By partnering with DuMont Consulting, firms gain experienced compliance professionals who understand evolving FINRA expectations and enforcement trends. Our Annual Rule 3012 and Supervisory Control Report services help firms enhance supervisory accountability, document effective oversight, and demonstrate a strong culture of compliance—providing confidence to regulators, leadership, and clients alike.