FINRA Statement to Correct Misinformation About the New Residential Supervisory Location Rule

FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.

2021070498102 Alan Mason CRD 1302190 AWC gg (2024-1719015601256).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021070498102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alan Mason (Respondent) General Securities Representative CRD No. 1302190 Pursuant to FINRA Rule 9216, Respondent Alan Mason submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that.
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