Granny (orca) Granny (born c. 1911, presumed dead between OctoberâDecember 2016), also known as J2, was an orca (killer whale). She was estimated by some whale researchers to have been 105 years old (with a margin of error of 12 years). If correct, this age would make her the oldest known orca at the time of her death.
Compliance is the state of aligning with guidelines, regulations and legislation set by outside parties such as vendors, industry organizations and government bodies. Compliance is the state of aligning with guidelines, regulations and legislation set by outside parties such as vendors, industry organizations and government bodies.
A firm may require its compliance personnel to become licensed. It is common for firms to require their compliance personnel to sit for the Series 7 and Series 63 licenses. The curriculum for these licensing exams allows compliance officers to obtain a good foundation and understanding of the securities industry. Other licenses that a firm may sponsor an individual (in compliance) for may include the Series 14, Series 26, Series 27 and Series 39.