Who's Covered Under FINRA's New Home Office Rule? Here's Some Help.

Q&A February 01, 2024 at 03:22 PM
Share & Print

What You Need To Know

  • FINRA's newly adopted remote supervisory location and remote inspections pilot are a big deal for BDs, lawyer Ben Marzouk says.
  • Before the effective date, BDs must answer the threshold question of who meets the RSL defintion.
  • There's more open questions with the remote inspection pilot than with the RSL, Marzouk says.
NOT FOR REPRINT

© 2025 ALM Global, LLC, All Rights Reserved. Request academic re-use from www.copyright.com. All other uses, submit a request to [email protected]. For more information visit Asset & Logo Licensing.

Related Stories

Resource Center