FINRA Rule 3110.08: Delegation of Correspondence and Internal Communication Review Functions

FINRA Rule 3110.08 provides that in the course of review and supervision of correspondences and internal communications as required under Rule 3110(b)(4), the supervisor/principal can delegate specific functions to individuals who do not need to be registered. However, the supervisor/principal remains responsible for the performance of all supervisory reviews, even if some have been delegated. This means that the supervisor/principal needs to take reasonable and appropriate actions to ensure that any delegated duties are properly executed.

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