Compliance

The 2024 Annual Compliance Training requirements and Firm Element CE courses are live on Distance Learning.  Additionally, continuing education requirements for FINRA registered individuals are available for completion through the FINPRO system.  Please complete all required annual courses by September 1st.

MassMutual has released new guidelines for business cards, electronic business cards, email signatures and stationery to account for Global Relay & A360 numbers.  Email signatures should be updated immediately while stationery & traditional business cards will expire at the end of the year. 

Phone Numbers: The following types of numbers are what may be used: Voice calls only: Personal cell phone numbers, land lines, and voice over internet protocol (VoIP) technology (not text enabled) and you must indicate next to the number(s) Voice Only or Call Only or something similar. 

Texting and voice calls: Global Relay or Advisor360 numbers and you must indicate next to the number Text Only or Text or Call* or something similar. 

For example: 

Advisor name 

Advisor title 

Email address 

Text or Voice –Insert Global Relay/A360# 

Voice Only – Insert Office# and/or Personal Cell# 

OR 

Advisor name 

Advisor title 

Email address 

Text or Call - Insert Global Relay/A360# 

Calls Only – Insert Office # and/or Personal Cell#