Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Answer true or false.

1. A firm’s system of supervisory controls can only be enforced by one designated principal of the firm.

2. A firm’s written supervisory controls must contain policies and procedures designed to monitor all transmittal of customers’ funds or securities to any location other than the customer’s personal primary residence.

3. XYZ Brokerage reports its annual certification of compliance on January 1 this ye

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