BD- Registered Representative Quarterly Compliance Certification

The Registered Representative Quarterly 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 quarterly review & certification process, registered representatives and/or associated persons are encouraged to complete, sign and certify 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 and supervisory procedures. Also Registered Representative Annual Compliance Certification.

Version/Update: V.2/March 21, 2019

Total Page Count: 9

Source/Author(s): Connexien