Series 27: Chief Compliance Officer And Compliance Certification

Taken from our Series 27 Online Guide

Chief Compliance Officer and Compliance Certification

FINRA requires each member firm to designate one or more principals to serve as chief compliance officer and identify that person to FINRA on its application for registration.

FINRA also requires the chief executive officer (CEO) to certify each year that the member firm has written and implemented a set of compliance policies and supervisory procedures. The CEO must certify that these policies and procedures ar

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

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Joseph Waitkevich, Coppertree LLC. Worcester, MA

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Louis Orsatti, NY LIFE Securities, Boston, MA

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Series 27: Chief Compliance Officer And Compliance Certification

Taken from our Series 27 Online Guide

Chief Compliance Officer and Compliance Certification

Since you're reading about Series 27: Chief Compliance Officer And Compliance Certification, you might also be interested in:

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