SIE Exam Question 376: Answer and Explanation

Question: 376

Each member broker-dealer is required to have a principal executive monitoring the firm's adherence to SRO as well as State and Federal laws and regulations, known as the firm's

• A. CCO
• B. COO
• C. CEO
• D. Business Continuity contact person

Correct Answer: A

Explanation:

A: CCO = Chief Compliance Officer.