Finra Branch Office Definition

Finra Branch Office Definition. (“finra”) is filing with the securities and exchange commission (“sec” or “commission”) a proposed rule change to adopt new supplementary. The uniform definition excludes from registration as a branch office:

The uniform definition excludes from registration as a branch office: (1) order execution and/or market. Financial industry regulatory authority, inc.

A Branch Office Is Further Classified Under Rule 3010 (G)(1) As An Osj If Any One Of The Following Enumerated Activities Occurs At The Location:

As finra explains, residential supervisory location under finra rule 3110 “would align finra’s definition of an office of supervisory jurisdiction (osj) and the classification of a. Financial industry regulatory authority, inc. The uniform definition excludes from registration as a branch office:

(1) Order Execution And/Or Market.

At one or more other branch offices of the member.5 certain locations, notably, certain private residences, are excluded from the definition of branch office (“residential exclusions”). (“finra”) is filing with the securities and exchange commission (“sec” or “commission”) a proposed rule change to adopt new supplementary. Current definition of “branch office” (in effect until april 30, 2006) prior to the effective date of the amendments, nasd’s current definition of “branch office” continues in effect.

Subject To Registration If The Location Is Identified To The Public In Any Way, Including In A Business Card, Letterhead, Or Identified In Sales Literature, Etc., Unless The.

Location:

DEFINITIONXC