FINRA Reminds Firms About CCO Supervisory Liability

Apr 4, 2022

FINRA Reminds Firms About CCO Supervisory Liability

FINRA ISSUES REMINDER REGARDING CCO SUPERVISORY LIABILITY UNDER FINRA RULE 3110

On March 17, FINRA issued a regulatory notice to remind member firms about the scope of CCO liability under Rule 3110, which imposes supervisory obligations on member firms and only applies to CCOs if member firms designate supervisory responsibilities to the CCO.

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FINRA News and Information compiled by Costello Law Group. See source for full story.

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