FINRA Rule 3110.19

In order to qualify as a residential supervisory location (RSL), the private residence is subject to the following limitations:

1. Business is conducted only by one associated person or by immediate family members who reside at the residence.
2. The residence is not held out to the public as an office.
3. No in-person meetings with customers or prospective customers take place at the residence.
4. Sales activity conducted from the residence is compliant with the conditions set forth in FINRA Rule 3110(f)(2)(A)(ii) or (iii).
5. Customer funds or securities are not handled at the residence.
6. The associated person is formally assigned to a designated branch office.
7. The person’s correspondence and communication with the public are supervised by the firm in accordance with FINRA Rule 3110 obligations.
8. Electronic communications are conducted through the member firm’s electronic systems.
9. Books and records required under the federal securities laws or FINRA rules are maintained by the member firm at a location other than the residence.
10. The firm uses appropriate technology and surveillance tools to supervise activity conducted from the residence.