Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the.
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.
On January 18, 2023, Reed Smith sponsored the first SIFMA monthly luncheon of 2023 at the Harvard Club in New York City. The luncheon was very well attended, attracting over 100.