Compliance


Lightbulb guides and booklets are periodically reviewed by FINRA and, where appropriate, by state regulatory authorities. Copies of FINRA review letters for specific guides and booklets are available upon request.

In cases where a current review letter is not available, or your firm wishes to conduct its own review process, Lightbulb will work with your compliance officer to make necessary changes both before submission to FINRA and in response to a FINRA comment letter.

In some cases, especially where you’ve decided not to co-brand the guides you are providing and you are using the guides in exclusively educational, non-marketing venues, FINRA reviews may not be necessary.