Series 14: 5.1.3. Non-Branch Locations

5.1.3. 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 subje