# FINRA Rule 3110: Supervision Requirements & 2026 Updates

Understand FINRA Rule 3110 with plain-language guidance on WSPs, inspections, and 2025 remote supervision updates — plus compliance best practices.

Source: https://commacompliance.com/post/finra-rule-3110-simplified
Last updated: 2026-06-01

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## FINRA Rule 3110 Explained - A Practical Guide for Compliance Leads

**You know what’s_not_ my idea of a good time?**

Trying to decode FINRA rules.

It’s easy to get lost in the fine print. So let’s break down [what FINRA’s Rule 3110 actually means](/regulations/finra-rule-3110)—without the legal headache. And let’s also figure out how to make sure you’re not just nodding at the rule but actually abiding by it.

If you’re responsible for supervision, Rule 3110 is your everyday rule book. Below, we translate the rule into tasks: build and maintain WSPs, assign qualified supervisors, review communications and trades, and inspect offices on the right cadence. We also cover the latest changes: what the Remote Inspections Pilot (3110.18) allows so you can update procedures and evidence your decisions. Start with the quick “What’s new” box, then dive into the section-by-section guide.

If you’re in financial services, you already know compliance isn’t just about checking boxes. It’s about avoiding fines, protecting your reputation, and keeping your name _out_ of the headlines. And FINRA Rule 3110? That’s the one that keeps firms honest when it comes to supervision.

Here’s what it _really_ means—minus the legalese (okay, maybe just a dash for flavor).

## **What _is_ FINRA Rule 3110?**

FINRA Rule 3110 requires broker-dealers to establish and maintain a supervisory system with Written Supervisory Procedures (WSPs) designed to ensure compliance with federal securities laws and FINRA regulations. At its core, the rule is about accountability: every firm must have a structured system to supervise its people and prevent compliance lapses

Think of it as a playbook that keeps operations aligned and reduces the risk of anyone freelancing their way into a regulatory mess.

### **Key Components of FINRA Rule 3110**

Let’s break down the key pieces of the rule:

#### **Written Supervisory Procedures (WSPs) Under FINRA 3110**

These are the “how-to” guides your firm uses to keep people on track. Think of them as your **compliance GPS**—if they’re out of date or unclear, someone’s getting lost.

> _“Establish, maintain, and enforce written procedures... reasonably designed to achieve compliance.”_ — Rule 3110(b)(1)

Firms are also required to **inspect and review business operations regularly** to catch risks before they snowball. That means:

- **Annual reviews** across the firm
- **Branch office inspections** at least every three years—or more often if needed