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FINRA’s Registration and Disclosure (RAD) Department manages U4, U5, and exam scheduling filings. It maintains regulatory data and ensures timely disclosures.

FINRA Rule 2210 sets standards for retail and institutional communications, requiring that they be fair, balanced, and not misleading. Supervisors must approve retail communications prior to use, document approvals, and maintain records. This ensures clients receive accurate and balanced information.

Selling away occurs when a rep engages in securities transactions outside firm approval and supervision. Supervisors must review and monitor all outside business activities.

Failure to complete Regulatory Element continuing education results in registration status becoming inactive. The rep cannot perform securities activities until CE is completed. Re-examination is not required unless CE remains incomplete for an extended period.

Regulation S-P requires firms to safeguard customer privacy and deliver annual privacy notices. Supervisors ensure compliance with security measures and disclosure controls.