Effective December 26, 2024, FINRA proposes a rule change to amend Form U4 by adding a new RSL question. The new question would require member firms to indicate whether a non-registered location identified on Form U4 as a private residence is an RSL, by responding “Yes” or “No”. Please see the attachment for more information.

Our compliance experts are constantly searching for and analyzing industry updates. Their findings are then recorded in the Regulatory Updates section of the Compliance Library to explain how the update impacts the insurance industry. If a change impacts an AgentSync product, this will be highlighted to inform you that the product is being updated to ensure you remain in compliance.