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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")
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
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
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 24-02 | FINRA. org FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision)
Residential Supervisory Locations (RSLs) - FINRA. org Beginning June 1, 2024, a firm could start using the RSL designation, subject to the terms set forth under Rule 3110 19 In general, to use the RSL designation, a firm and the associated person at each location must meet specified eligibility requirements and conditions
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")
Supervision | FINRA. org FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules
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
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