2024-21623. Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation To Provide List of RSLs to FINRA) ...

Date member firm determines whether non-registered private residence location is or is not an RSL *	Date member firm response to the RSL question on form U4 as “Yes” or “No” is due
From June 1, 2024 (effective date of Rule 3110.19) through November 25, 2024	Required by December 26, 2024 **.
On or After November 26, 2024	Required within 30 days of RSL designation in accordance with FINRA By-Laws.
* The member firm must first have indicated on the associated person's Form U4 that the Office of Employment address is a non-registered location and a private residence by checking the “Private Residence Check Box.” See Form U4 Instructions, Section 1 (General Information) (directing a filer to “Check this [Private Residence Check Box] if the Office of Employment address is a private residence.”).
** Prior to the implementation date,21 member firms may begin responding to the RSL Question on Form U4 on a voluntary basis from the date the RSL Question becomes available on Form U4 (“transition period”).22