Thornton & Associates, LLC can develop an internal Rule 3010 audit program for you or we can come to your firm and conduct the audit in person. Our firm continually works with our clients during their finra, state and SEC audits and knows their audit processes, sampling, and current "hot topics". During the Rule 3010 audit process, Thornton & Associates, LLC can help your firm identify regulatory exposures during your Rule 3010 internal review.

Both of our audit templates and on-site audit services include a review of the following:

• Financial Statements and Net Capital
• Written Supervisory Procedures
• Books and Records review
• Email and Correspondence
• Website compliance
• Transaction reporting
• Continuing Education
• Money Laundering
• Suitability