Coming soon: FINRA’s residential supervisory location rule change
New non-branch location will be subject to more stringent conditions and safeguards to ensure adequate continuing investor protection.
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In order to qualify as an residential supervisory location (RSL) the private residence must fulfill the following conditions:
Coming soon: FINRA’s residential supervisory location rule change
New non-branch location will be subject to more stringent conditions and safeguards to ensure adequate continuing investor protection.
Thomas Hyrkiel, Julie DiMauro6 min read
SEC approves proposed rule change to FINRA Rule 3110
Move allows more formal remote inspections in recognition of changed work environment.
Julie DiMauro1 min read
SIFMA survey results – key themes from compliance and legal professionals
SIFMA's recent conference event enabled it to survey compliance and legal professionals from across the financial services industry. Here are some of the results.
Julie DiMauro2 min read
FINRA
Coming soon: FINRA’s residential supervisory location rule change
Supervision
SEC approves proposed rule change to FINRA Rule 3110
Supervision
SIFMA survey results – key themes from compliance and legal professionals
Disciplinary decisions issued August 24 – 30, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued August 17 – 23, 2024.
Thomas Hyrkiel2 min read
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
Julie DiMauro3 min read
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued August 3 – 9, 2024.
Thomas Hyrkiel3 min read
Disciplinary decisions issued July 27 – August 2, 2024.
Thomas Hyrkiel5 min read
The firm was one of several businesses recently censured for a failure to maintain well-functioning and appropriate WSPs.
Julie DiMauro5 min read
Disciplinary decisions issued July 20 – 26, 2024.
Thomas Hyrkiel2 min read