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- 3110. Supervision - FINRA. org
Rule 3110 (a) (4) requires a member to designate one or more appropriately registered principals in each OSJ with the authority to carry out the supervisory responsibilities assigned to that office ("on-site principal")
- Rule 3110 Describes Four Office Classifications - FINRA. org
Rule 3110 describes four classifications of member firm offices and locations as follows: (1) office of supervisory jurisdiction (or OSJ); (2) supervisory branch office; (3) non-supervisory branch office; and (4) non-branch location
- Supervision Frequently Asked Questions (FAQ) | FINRA. org
Rule 3110 (b) (6) requires a firm’s supervisory procedures to prohibit supervisory personnel from supervising their own activities and reporting to, or having their compensation or continued employment determined by, a person or persons they are supervising
- 3110. Supervision - FINRA. org
Rule 3110 (a) (4) requires a member to designate one or more appropriately registered principals in each OSJ with the authority to carry out the supervisory responsibilities assigned to that office ("on-site principal")
- Regulatory Notice 24-02 | FINRA. org
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision)
- 3100. SUPERVISORY RESPONSIBILITIES | FINRA. org
3100 SUPERVISORY RESPONSIBILITIES 3110 Supervision 3120 Supervisory Control System 3130 Annual Certification of Compliance and Supervisory Processes 3150 Holding of Customer Mail
- Regulatory Notice 14-10 - FINRA. org
FINRA Rule 3110 03 (Supervision of Multiple OSJs by a Single Principal) clarifies the requirement in FINRA Rule 3110(a)(4) for a firm to designate one or more appropriately registered principals in each OSJ with the authority to carry out the supervisory responsibilities assigned to that office
- Frequently Asked Questions about Remote Inspections Pilot Program
The Pilot Program provides an eligible firm the flexibility to fulfill its Rule 3110 (c) (1) obligations by conducting inspections remotely or on-site, on a location-by-location basis, in accordance with Rule 3110 18
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