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FINRA requires firms to hold an annual compliance meeting for all registered persons. It may be held in person or electronically, but attendance must be documented.

A felony indictment must be disclosed on Form U4 within 30 days, and it may trigger statutory disqualification. Minor personal changes such as addresses or emails are also reportable but are not considered immediate statutory concerns.

Rule 3120 requires firms to establish and test supervisory control policies and procedures to ensure compliance systems are effective.

Rule 3110 requires firms to designate responsible supervisory principals for each business line. This ensures accountability and proper oversight across all areas.

FINRA Rule 3110 requires supervision of all communications related to the business, including emails, texts, and social media. Firms must archive and review such communications to ensure compliance with advertising and suitability rules.