Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 8 - Jul 13
Promo Codes Available:
For Your Every Summer RSVP, with Code: SUMMER15
Description
BD- Small Firm 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 ten 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 Training
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 ten 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 thirteen separate annual compliance certifications for registered and associated persons to complete as documentary evidence of completion.
Version/Update: V.15/December 12, 2018
Total Page Count: 32
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