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FINRA’s new office rules
Implementation challenges
Event Details
Webinaire
États-Unis | 18 septembre 2024 | 14:00 – 15:00 HEFINRA's new office rules went into effect in June. In a follow-up to our May webinar on this topic, we will address some of the questions faced by firms in determining how to classify home offices of broker-dealer personnel under FINRA Rule 3110, and the supervisory implications of this determination.
Topics of discussion
- Categories of broker-dealer offices and locations under FINRA Rule 3110
- Supervisory implications of home office classification
- How do you classify home offices of:
- Investment banking personnel
- Trading personnel
- Producing supervisors
- Support personnel and permissively registered personnel
- Personnel working from home during business disruptions
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 credit in Missouri.
Conférenciers
Partner, Norton Rose Fulbright US LLP
Founder and Managing Partner, Compliance Risk Concepts
Of Counsel, Norton Rose Fulbright US LLP
Of Counsel
Courriel
glen.barrentine@nortonrosefulbright.com