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- 3110. Supervision - FINRA. org
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 office ("on-site principal")
- 3110. Supervision - FINRA. org
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 office ("on-site principal")
- Rule 3110 Describes Four Office Classifications - FINRA. org
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 office; and (4) non-branch location
- Regulatory Notice 24-02 | FINRA. org
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision)
- Supervision Frequently Asked Questions (FAQ) | FINRA. org
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 employment determined by, a person or persons they are supervising
- 3100. SUPERVISORY RESPONSIBILITIES | FINRA. org
3100 SUPERVISORY RESPONSIBILITIES 3110 Supervision 3120 Supervisory Control System 3130 Annual Certification of Compliance and Supervisory Processes 3150 Holding of Customer Mail
- Supervision | FINRA. org
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 the applicable securities laws and regulations and FINRA rules
- Regulatory Notice 14-10 - FINRA. org
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 principals in each OSJ with the authority to carry out the supervisory responsibilities assigned to that office
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