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FIRM NAME
FINRA Rule 3120/3130 CEO and Chief Compliance Officer Meeting
On DATE, 2017, NAME, Chief Executive Officer (CEO) and NAME, Principal met to discuss the firms'
compliance program, written
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What is on date name chief?
On date name chief refers to the designated individual who holds the position of chief on a specific date.
Who is required to file on date name chief?
The individual designated as chief on the specified date is required to file.
How to fill out on date name chief?
To fill out on date name chief, the designated individual must provide the necessary information and details in the appropriate forms.
What is the purpose of on date name chief?
The purpose of on date name chief is to ensure that the designated chief is properly documented and recognized for their position on a specific date.
What information must be reported on on date name chief?
The information reported on on date name chief typically includes the name of the chief, the date of designation, and any relevant details pertaining to the position.
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