Series 14: 5.1.6.2. Chief Compliance Officer And Compliance Certification

Taken from our Series 14 Online Guide

5.1.6.2. 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 the

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