The effective date of FINRA Rule 3110.18 is July 1, 2024, and any firm that elects to participate in the initial phase of the Pilot Program must submit its opt-in notice by June 26, 2024.

FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID ...

On March 17, the Financial Industry Regulatory Authority (FINRA) issued a notice, clarifying when chief compliance officers (CCOs) will face liability as supervisors under FINRA Rule 3110.[1 ...

FINRA How FINRA should adapt its rules to the work-from-home reality By Sarah Wynn February 17, 2021, 9:38 a.m. EST 4 Min Read ...

The responsibility for supervision under Finra rule 3110, which lays out obligations for member firms and requires each to designate individual supervisors for responsibilities, lies with a ...

Specifically, the class action waiver violates NASD Rule 3110 (f) (4) (C) and FINRA Rule 2268 (d) (3), both of which prohibit member firms from including any condition in a predispute arbitration ...

FINRA Notices and Rule Filings Regulatory Notice 24-02 – FINRA has adopted new FINRA Rules 3110.19 (Residential Supervisory Location) and 3110.18 (Remote Inspections Pilot Program).

FINRA announced today that it has fined BofA Securities Inc. (BofAS) $5 million for failing to report over-the-counter (OTC) options positions to the ...