Norton Rose Fulbright and CRC to Host Webinar on FINRA's Office Rules

Join Norton Rose Fulbright and Compliance Risk Concepts in discussing FINRA's new residential supervisory office rules on Wednesday, September 18, 2024, at 2:00 pm - 3:00 pm E.T.

The new rules, which came into effect in June, have significant impact on firms that permit personnel to work from home, or that inspect their offices remotely. (See related coverage.)

In this webinar, the speakers will discuss:

• Categories of broker-dealer offices and locations under FINRA Rule 3110
• Supervisory implications of home office classification
• How do you classify home offices of:
  • Investment banking personnel
  • Trading personnel
  • Producing supervisors
  • Support personnel and permissively registered personnel
  • Personnel working from home during business disruptions

Speakers include:

• Mitch Avnet, Managing Partner, Compliance Risk Concepts, New York;
• Glen Barrentine, Of Counsel, Denver; and
• Mark Highman, Partner, New York. 

For those attending the live webinar, this program is pending 1 professional practice CLE credit in New York, 1 general CLE credit in California, Colorado, Illinois and Texas and 1 general CLE credit in Missouri. Register here.