Series 99: 3.4.3.1 Annual Certification Of Compliance And Supervisory Processes

Taken from our Series 99 Top-off Online Guide

3.4.3.1  Annual Certification of Compliance and Supervisory Processes

Each member firm shall have its chief executive officer (or equivalent officer) certify annually that the member has in place processes to establish, maintain, review, t

Since you're reading about Series 99: 3.4.3.1 Annual Certification Of Compliance And Supervisory Processes, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!