04.06.23

FINRA Tightens Work-From-Home Rule Plan for Brokers

by: Melanie Waddell

The Financial Industry Regulatory Authority (FINRA) has refiled a revamped plan for brokers to allow a home office to be considered a non-branch “residential supervisory location” under certain conditions. The U.S. Securities and Exchange Commission had a statutory deadline to respond to FINRA’s Residential Supervisory Locations proposal by the end of March, but FINRA said it would rework the plan after industry pushback. The revised plan tightens eligibility rules.

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