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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
non-registered covered persons and/or associated persons who conduct broker-dealer business activities to acknowledge receipt of and compliance with a broker-dealer’s current written supervisory procedures
officers and employees be fingerprinted and shall submit
planning and updating your annual compliance program
Source/Author(s): Connexien
BD- Broker-Dealer Annual Compliance Meeting & Training Packet Investment Adviser The Training Packet also includesThe 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
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