Series 26: Chief Compliance Officer And Compliance Certification

Taken from our Series 26 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 Form BD.

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

Since you're reading about Series 26: Chief Compliance Officer And Compliance Certification, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!