FINRA’s new office rules

FINRA's new office rules come into effect in June. The new rules will have a significant impact on firms that permit supervisory personnel to work from home or that inspect their offices remotely. This webinar will address the principal requirements of the new rules, practical compliance considerations and key compliance dates. 

Topics of discussion

• FINRA's new category of Residential Supervisory Location for broker-dealer supervisors working from home
• FINRA's new pilot program for remote inspections of firm offices
• Form U4 and Form BR reporting requirements following termination of FINRA's COVID registration relief
• Applications for FINRA approval to address increases in office locations arising from work-from-home arrangements

Continuing education information

For those attending the live webinar, this program is pending 1 professional practice CLE credit in New York, 1 general CLE credit in California, Colorado, Illinois and Texas and 1 general CLE credits in Missouri.