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 office rules on Wednesday, May 29th, 2024, at 10:00 am - 1:00 pm E.T. The new rules, which come into effect in June, will have a 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:
- FINRA's new category of Residential Supervisory Location for broker-dealer supervisors working from home;
- FINRA's new pilot program for Remote Inspections of firm offices;
- Form U4 and Form BR reporting requirements following termination of FINRA's COVID registration relief; and
- Applications for FINRA approval to address increases in office locations arising from WFH arrangements.
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 eligible for 1 professional practice CLE credit in New York, 1 general CLE credit in California, Colorado, Illinois and Texas, and 1.2 general CLE credits in Missouri. Register here.