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 …

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 …

Apr 24, 2014 · 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 …

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 …

Jan 23, 2024 · FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).

3100. SUPERVISORY RESPONSIBILITIES 3110. Supervision 3120. Supervisory Control System 3130. Annual Certification of Compliance and Supervisory Processes 3150. Holding of …

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 …

Jan 28, 2025 · 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 …

May 13, 2024 · 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, …

May 13, 2024 · Rule 3110.18 governs the terms of FINRA’s voluntary, three-year Remote Inspections Pilot Program (Pilot Program), which starts on July 1, 2024 and ends on June 30, …