Series 14: 5.1.4.4. Compliance Meeting

Taken from our Series 14 Online Guide

5.1.4.4. Compliance Meeting

Each associated person must participate in an annual compliance meeting or interview. The purpose of this meeting is to ensure that representatives and principals remain current on changing compliance requirements and the firm’s supervisory system. Meetings may be conducted either indi

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Series 14: 5.1.4.4. Compliance Meeting

Taken from our Series 14 Online Guide

5.1.4.4. Compliance Meeting

Since you're reading about Series 14: 5.1.4.4. Compliance Meeting, you might also be interested in:

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