FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more
5/8/2024
/ Coronavirus/COVID-19 ,
Exemptions ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
New Rules ,
Primary Residence ,
Principal Place of Business ,
Relief Measures ,
Remote Working ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Supervision
The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified supervisory activities....more