WebMar 24, 2024 · Finra has filed the proposed change with the Securities and Exchange Commission, noting it is meant to “align Finra’s definition of an office of supervisory jurisdiction and the classification of a location that supervises activities at non-branch locations with the existing residential exclusions set forth in the branch office definition ... WebJun 11, 2024 · The Financial Industry Regulatory Authority (FINRA) is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in...
SECURITIES AND EXCHANGE COMMISSION November 5, 2007
WebFINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive … WebSep 6, 1985 · The address must also be given for each branch office. A P.O. Box is not sufficient. Anyone with a status as branch office manager must also be currently registered as an AP or have applied for such registration. Whenever a new branch office is established it must be reported, with all the required information, to NFA by filing an … something是什么意思
Compliance Requirements for a Non-OSJ Branch Office
WebApr 6, 2024 · branch office definition, FINRA made a definitional change to the OSJ definition to exclude from OSJ designation and treat as a non-branch location an office or location at which final approval of research reports occurred,109 noting that ‘‘the limited nature of such activity [did] WebExamples of compliance oversight and testing of branch office activities included: Validating that branch offices undertook compliance or supervision reviews of their portfolio management decisions, both initially and on an ongoing basis. Designating individuals within branch offices to provide portfolio management monitoring, primarily WebFINRA, the acronym of the Financial Industry Regulatory Authority, is the largest self-regulatory organization (SRO) in the United States. It writes and enforces rules … small college and social life