Non-Branch Locations
Unregistered offices, or non-branch locations, include:
- • Any office location established solely for customer service and/or back office type functions where no sales activities are conducted
- • An employee’s private residence, if:
- » Only resident employees who are immediate family members operate there
- » The employee does not meet with customers there
- » Neither customer funds nor securities are handled at that location
- » The location is assigned to a branch office and