Nina Shallal

Dechert LLP

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Supervisory Liability for CCOs Under FINRA Rule 3110

The Financial Industry Regulatory Authority issued a regulatory notice clarifying the scope of supervisory liability under FINRA Rule 3110 of a broker-dealer’s chief compliance officer (CCO) (Regulatory Notice). FINRA’s Head...more

4/15/2022  /  Broker-Dealer , Chief Compliance Officers , Compliance Management Systems , Financial Industry Regulatory Authority (FINRA) , Financial Regulatory Reform , Financial Services Industry , New Regulations , Regulatory Standards , Supervisors , Supervisory Guidance
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