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Description
BD- Broker-Dealer Annual Compliance Meeting & Training PacketThe Small Firm Broker Dealer Annual Compliance Meeting & Training Packet serves as a ready made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each years FINRA Regulatory and Examination Priorities Letter. The
The Small Firm Broker-Dealer Annual Compliance Meeting & Training Packet serves as a ready-made template to help small firms meet the requirements under FINRA Rule 3110(a)(7). The Training Packet includes twenty-seven separate operations and compliance related topics to address select regulatory focal points and updates often highlighted during regulatory examinations and emphasized in each year’s FINRA Regulatory and Examination Priorities Letter. The Training Packet also includes an attendance sheet and an annual compliance certification with thirteen separate sections for registered and associated persons to complete as documentary evidence of completion.
Version/Update: V.17/May 3, 2022
Total Page Count/Format: 61/.docx
Source/Author(s): Connexien
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