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Frequently Asked Questions
  What licenses are required by Nasdaq rules to qualify as Chief Compliance Officer of a member organization?
Identification Number 1548

Nasdaq exchanges require an associated person of a member organization who holds the title of Chief Compliance Officer to successfully complete the Series 24 qualification exam.  Alternatively, Nasdaq may accept the Series 14 in certain circumstances where the individual’s responsibilities are limited. See Nasdaq Rule 1.1220 (contained within Nasdaq General 4, Section 1).

Publication Date*: 1/7/2020 Mailto Link Identification Number: 1548
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