View Whole SectionText only Print Print Manager Link
Previous Next

313. Designation of Chief Compliance Officer

This version of the rule (or interpretive material) does not become effective until Apr 14 2017.

Each capital acquisition broker must designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
Adopted by SR-FINRA-2015-054.

Selected Notice: 16-37.

Previous Next