FINRA’s new office rules

FINRA'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.