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Supervisory Guidance Supervisors

Jackson Lewis P.C.

Hybrid Workplaces + Regulatory Obligations: What FINRA Members Need to Know About the RSL Rule and Remote Inspections

Jackson Lewis P.C. on

As of June 1, 2024, FINRA member firms have been able to identify as a “Residential Supervisory Location” (RSL) a “private residence from which an associated person engages in supervisory functions,” so long as certain...more

McDermott Will & Emery

Courts Split on Supervisory Approval Requirement for Tax Penalties

McDermott Will & Emery on

Since Chai v. Commissioner, an opinion by the US Court of Appeals for the Second Circuit subsequently followed by the US Tax Court in several opinions, there has been a substantial number of cases litigating issues involving...more

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