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

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