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- USA
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Ships within 48 hours · Estimated delivery Aug 12 - Aug 17
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Description
BD- Registered Representative Quarterly Compliance CertificationThe Registered Representative Quarterly Compliance Certification serves as an important part of a broker dealers overall compliance program in accordance with FINRA Rule 3110. As part of a firms quarterly review & certification process, registered representatives and or associated persons are encouraged to complete, sign and certify compliance with such areas as outside business activities, customer complaints & disclosures, private securities
The Registered Representative Quarterly Compliance Certification serves as an important part of a broker-dealer’s overall compliance program in accordance with FINRA Rule 3110. As part of a firm’s quarterly review & certification process, registered representatives and/or associated persons are encouraged to complete, sign and certify compliance with such areas as outside business activities, customer complaints & disclosures, private securities transactions, personal securities accounts; insider trading, gifts & gratuities, use of non-member email, social media and supervisory procedures. Also Registered Representative Annual Compliance Certification.
Version/Update: V.2/March 21, 2019
Total Page Count: 9
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy