The Financial Industry Regulatory Authority, Inc. (“FINRA”) announced via Regulatory Notice 24-02 (the “Notice”) the effective dates and other important timeframes for new FINRA Rules 3110.18 (Remote Inspections Pilot Program) and 3110.19 (Residential Supervisory Location). Moreover, FINRA announced the end date of the COVID-19-related regulatory relief set forth in FINRA Regulatory Notice 20-08 (the “Notice 20-08 Relief”) with respect to the obligation of firms to maintain current information for employment addresses on Form U4 and branch offices on Form BR. Below are the key dates relating to the initial implementation of these changes.
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