Series 14: 5.1.6.2. Chief Executive Officer And Compliance Certification

Taken from our Series 14 Online Guide

5.1.6.2. Chief Executive Officer and Compliance Certification

FINRA requires the chief executive officer (CEO) to certify each year that the member firm has written and implemented a set of compliance policies and supervisory procedures. The CEO must certify that these policies and procedures are consistent with FINRA rules and federal securities laws and can be modified when they are not. Finally, the CEO must attest to having conducted at least one meeti

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I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

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Ajay A, CT, Series 24

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