Compliance Professional Week 20224

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Across
  1. 4. What vendor is used to monitor social media accounts
  2. 6. What FINRA exam do you have to pass to be a general securities principal
  3. 9. What month in 2019 did the commission adopt Reg BI
  4. 10. What 2024 Focus Area is for deepening our compliance knowledge
  5. 12. Which team handles customers concerns
  6. 14. Accornym for business a registered person does outside of their role with MM or MMLIS
  7. 16. Tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors
Down
  1. 1. Who is the Chief Compliance and Ethics Officer
  2. 2. Tool the monitors Registered person emails
  3. 3. Largest personal fine a Producer received from FINRA for texting using a personal cell phone ($$ thousands)
  4. 5. Where can you access the Compliance manuals
  5. 7. How often must FINRA Continuous Education be completed
  6. 8. What document establishes the standards of our behavior
  7. 11. Which organization write and enforces rules, examines firms for compliance and educates investors?
  8. 13. The area whose primary business is serving as principal underwriter and distributor
  9. 15. Which storage system are Producers are not allowed to keep electronic client files