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FINRA (Finally) Adopts Work-From-Home Supervisory Location Category and Requirements

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Firms will be able to treat private residences from which certain supervisory activity is conducted as non-branch offices instead of OSJs. The adoption comes after nearly two years of FINRA efforts to align its supervisory...more

Goodwin

FINRA Re-Proposes Work-From-Home Supervisory Locations

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Firms would be able to treat private residences as non-branch offices instead of OSJs under certain circumstances. FINRA hopes to align its supervisory rules with current work-from-home practices....more

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