WebAug 1, 2024 · The number of home offices serving as non-branch locations increased 53% to 37,290 at the end of April this year from 24,369 on Dec. 31, 2024, according to the … WebEmergency Office Relocations . The FINRA definition of “branch office” excludes “a temporary location established in response to the implementation of a business continuity plan.” 8. That said, the Notice states that if a firm uses emergency office space that meets the definition of branch office,“ ” but is not registered as a “branch
FINRA Seeks to Allow Private Homes as Non-Branch Offices
WebApr 12, 2024 · The SEC requests comment on FINRA’s proposal to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction and the classification of a location that supervises activities at non-branch locations with the existing ... WebApr 6, 2024 · Federal Register/Vol. 88, No. 66/Thursday, April 6, 2024/Notices 20573 46 See note 19, supra, and accompanying text for the then existing OSJ definition. 47 See … michel buysse
BRANCH OFFICE INSPECTION CHECKLIST
WebAug 1, 2024 · The number of home offices serving as non-branch locations increased 53% to 37,290 at the end of April this year from 24,369 on Dec. 31, 2024, according to the proposal. WebJan 8, 2014 · a “regular periodic schedule,” based on the activities undertaken at the non-branch location. New Supplementary Material .13 to FINRA Rule 3110, however, creates a new presumption that a non-branch location should be inspected at least every three years, even in the absence of red flags. WebApr 7, 2024 · SR-FINRA-2024-006. 34-97237. Mar. 31, 2024. Notice of Filing of a Proposed Rule Change to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) Comments due: 21 days after publication in the Federal Register. Submit Comments on SR-FINRA-2024-006. SR-FINRA-2024-032. how to charge ink in epson l3210