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FINRA Rule 3130

A chief executive officer of a member firm must certify annually that the member has in place processes to establish, maintain, review, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable FINRA rules.

Rule Overview

Jurisdiction: United States

Regulator: FINRA

Topic: General Requirements

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The rule also requires an attestation that the chief executive officer has conducted one or more meetings with the chief compliance officer(s) in the preceding 12 months to discuss such processes.

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Further Reading

Proskauer broker-dealer and investment adviser supevisory requirements Go to https://prfirmpwwwcdn0001.azureedge.net/azstgacctpwwwct0001/uploads/07baf789c11b8f004e1d5241eb4a72a7.pdf