Series 14: 5.1.6.2. Chief Executive Officer And Compliance Certification

Taken from our Series 14 Online Guide

5.1.6.2. Chief Executive Officer and Compliance Certification

FINRA 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 these policies and procedures are consistent with FINRA rules and federal securities laws and can be modified when they are not. Finally, the CEO must attest to having conducted at least one meeti

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