BD- Registered Representative Annual Compliance Certification

The Broker-Dealer Registered Representative Annual Compliance Certification serves as an important part of a firm’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 reps to complete, sign and confirm compliance in fourteen separate areas to include outside business activities, complaints & disclosures, private securities transactions, personal securities accounts, insider trading, gifts & gratuities, social media, WSPs and FINRA Rule 3241. Members also downloaded Broker-Dealer Registered Representative Quarterly Compliance Certification.

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

Total Page Count/Format: 11/.docx

Source/Author(s): Connexien