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 sub