Developments in Remote Supervision


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About This Course

This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices.

This session will discuss:

  • Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19
  • How to functionally report residential locations and RSLs in Firm Gateway
  • Remote supervision best practices and considerations
  • FAQs for operationalizing and utilizing these new remote options.

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