Finra rule 3010 Study guides, Class notes & Summaries

FINRA Rule 3010 correct answers Rule that states each member must: I. Establish written supervisory procedures II. A registered principal is responsible for reviewing procedures III. Each rep is assigned to a principal in charge of supervising their activities, review of communication, & correspondence bw reps & the public FINRA Rule 8000 correct answers Investigations & Sanctions. Must keep and maintain a current copy of the manual in a readily accessible place and provide it at a custome...