# Books and Records

Ensuring Compliance with FINRA’s Trusted Contact Rule

Ensuring Compliance with FINRA’s Trusted Contact Rule

BACKGROUND In 2018 FINRA introduced the trusted contact rule. It requires that broker-dealer firms make reasonable efforts to identify a “trusted contact,” a person to contact if the firm has a concern that the client is incapacitated or is the target of a scam. It is...

Newsletter Sign Up

Thank you for subscribing!