ACM & ACQ Solutions

In accordance with FINRA rules for registered representatives and broker-dealer firms, the Annual Compliance Meeting (ACM) and Annual Compliance Questionnaire (ACQ) are important for more than just complying with regulations. The ACM provides firms with the perfect opportunity to highlight many of the compliance objectives discussed throughout the year and make sure the compliance priorities are still shared throughout the organization. The ACQ gives firms the opportunity to view its representative makeup and help drive the overall compliance structure.