Publication Date
2024-01-24
effective date
2024-06-01
jurisdiction
N/A
FINRA Publishes Notice Announcing Effective Dates of Two New Supplementary Materials 3110.19 and 3110.18
Effective June 1, 2024, Two new supplementary materials under FINRA Rule 3110 will be active. Please see attached for full details.
- Rule 3110.19 (Residential Supervisory Location)
- Rule 3110.18 (Remote Inspections Pilot Program)
Pleas see attached for more information.
- Rule 3110.19 (Residential Supervisory Location)
- Rule 3110.18 (Remote Inspections Pilot Program)
Pleas see attached for more information.
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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).