Publication Date
2024-07-16
effective date
2024-07-15
jurisdiction
N/A
FINRA Enhancing SRO Fees & Setting Schedule Document
On July 15, 2024, FINRA added a new column to SRO Fees & Setting Schedules to indicate Residential Supervisory Locations (RSLs). Please see the attachment for more information.
a href=“<https://www.finra.org/rules-guidance/key-topics/residential-supervisory-locations”>Information Link/a
a href=“<https://www.finra.org/rules-guidance/key-topics/residential-supervisory-locations”>Information Link/a
AgentSync Actions
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analyzed
pending
effective
This update has been reviewed by AgentSync compliance experts for industry impact and necessary automation in the AgentSync platform.
categories
FINRA
analyzed
Our compliance experts have identified the update and analyzed it for impact on both the industry and AgentSync products.
pending
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effective
The date the update takes effect.
released
This means an AgentSync product was updated as a result of this change and the update is now live in our product(s).