The Broker-Dealer Compliance Frequency Review Guide assists firms in outlining certain supervisory tasks and responsibilities of the chief compliance officer (CCO) and/or other designated supervisory principals and the recommended frequency of supervisory review.  As FINRA broker-dealers must establish and maintain a supervisory system that is reasonably designed to achieve compliance with FINRA Rule 3110(a) and applicable rules, this Guide serves as a useful resource to help firms in detailing those tasks and responsibilities, and the frequency of review associated with each task, to maintain an effective supervisory program.

Update: August 30, 2017

Total Page Count: 12

Source/Author(s): Connexien