Legal & Compliance
Legal Questions
Raymond James’ Legal department makes your life easier by posting answers to the most commonly asked legal questions. Available on our corporate intranet site, this information is updated regularly and speaks to the situations our advisors face every day.
Compliance
To protect you and your business, Raymond James Compliance ensures that all applicable FINRA, SEC and state regulations, as well as internal policies, are followed. Compliance advisors conduct on-site audits of offices and monitor trading activities by reviewing mutual funds, annuity switching and discretionary accounts.
Other important functions of the Compliance department include assisting offices with customer complaints and reviewing marketing materials and stationery. Compliance also reviews criteria for the “Firm Element” portion of the NASD requirements for continuing education and informs you about regulatory and firm procedures through memos and a bi-monthly newsletter.
