BD- Small Firm Annual Compliance Meeting & Training Packet

The Small Firm Broker-Dealer Annual Compliance Meeting & Training Packet serves as a ready-made template to help small firms meet the requirements under FINRA Rule 3110(a)(7).  The Training Packet includes ten separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each year’s FINRA Regulatory and Examination Priorities Letter.  The Training Packet also includes an attendance sheet and thirteen separate annual compliance certifications for registered and associated persons to complete as documentary evidence of completion.

Version/Update: V.15/December 12, 2018

Total Page Count: 32

Source/Author(s): Connexien