What is FINRA Rule 3110?

FINRA Rule 3110, also known as the Supervision Rule, requires securities firms to establish and maintain a system to supervise the activities of their associated persons, such as brokers and investment advisors. This supervision aims to ensure compliance with applicable securities laws, regulations, and FINRA rules.

Here are the key points of FINRA Rule 3110:

Important Note: FINRA Rule 3110 is quite complex and contains several nuances. This summary provides a high-level overview. For a more detailed understanding, consult our law firm and the official FINRA Rules and relevant interpretive materials: