BD- Broker-Dealer Registered Rep Compliance Certification

The Registered Representative 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 scheduled compliance review or meeting, this certification process allows for registered representatives to complete, sign and confirm compliance with thirteen separate areas to include 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 and new FINRA Rule 3241.

Version/Update: V.3/March 1, 2021

Total Page Count/Format: 11/.docx

Source/Author(s): Connexien