BD- Registered Representative Annual Compliance Certification


Regular price $145.00

The Registered Representative Annual Compliance Certification serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110. As part of a firm’s annual compliance meeting, this certification process allows for registered representatives and/or associated persons to complete, sign and confirm compliance with such areas as outside business activities, customer complaints & disclosures, private securities transactions, personal securities accounts; insider trading, gifts & gratuities, use of non-member email, social media, supervisory procedures and termination procedures. Members also downloaded Registered Representative Quarterly Compliance Certification.

Version/Update: V.2/September 17, 2017

Total Page Count: 10

Source/Author(s): Connexien