Download Our Guide: A Step-by-Step Guide for Starting a Residential Supervisory Locations Compliance Program

Since June 1, 2024, FINRA's updated regulations have changed how firms are required to manage supervisory oversight for home offices. With the introduction of Residential Supervisory Locations (RSLs), certain sites are now subject to new compliance standards.

To ensure your firm stays compliant and efficient under this framework, we’ve created " A Step-by-Step Guide for Starting a Residential Supervisory Locations Compliance Program,” a roadmap for navigating these changes. From eligibility checks to risk assessments and compliance best practices, this resource is designed to help you create and optimize your RSL program.

What’s Inside the Guide?

• Eligibility Criteria: Understand if your firm and associated persons qualify for RSL designation.
• Step-by-Step Guidance: Navigate the nine steps to establish a compliant RSL program.
• Risk Management Strategies: Learn how to conduct and document effective risk assessments.
• Compliance Best Practices: Build a robust compliance framework to oversee RSLs.

Whether you’re managing compliance for a small firm or overseeing a large, dispersed workforce, this guide offers the insights and tools you need to stay compliant and minimize risk.

Fill out the form to download the article.