BD- Registered Representative Quarterly Compliance Certification
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
Published by: Connexien
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