A compliance glossary is a reference that defines the rules and terminology governing a financial firm's regulatory obligations. This glossary explains the core FINRA and SEC requirements — supervision, marketing and advertising, and books-and-records — in clear terms, with links to the primary rule text and practical checklists for RIAs and broker-dealers.
Compliance rules are written for lawyers; the daily work of following them falls to operations and compliance teams. Each entry below distills a rule to its plain meaning, its core requirements, and what firms actually have to do — then links to the official source so you can verify every claim.
How this glossary is organized
Entries are grouped by the compliance function they support. Every entry follows the same structure: a short plain-language definition first, then the rule's core requirements, a practical checklist or table, a set of frequently asked questions, and citations to the primary source at sec.gov or finra.org.
| Function | Primary rules | Who it applies to |
|---|---|---|
| Supervision | FINRA Rule 3110 | Broker-dealers |
| Marketing & advertising | SEC Rule 206(4)-1 | Registered investment advisers |
| Recordkeeping & archiving | SEC Rules 17a-3 & 17a-4; FINRA Rules 4511, 3110(b)(4) | Broker-dealers & RIAs |
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