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Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.

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2024 finra annual conference

Asgard team members Jon Hurd, Eden Turner, Alona Kornberg and Shannon Brady attended the 2024 FINRA Annual Conference in Washington DC on May 14-16

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FINRA Rule 3110 updates

The SEC recently approved FINRA's amended rule proposal ( SR-FINRA-006) to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 which will permit certain broker-dealers to treat any eligible private residence in which an associated person engages in specified supervisory activities as a non-branch location (subject to various conditions and limitations).

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