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
Guidance clarifies assessment of liability under Rule 3110, including designation as supervisor, application of reasonableness standard, and factors for and against charging compliance officials.
On March 17, 2022, the...more