WebSep 15, 2024 · FINRA is proposing to extend the ability of firms to have remote inspections until June 30, 2024. As discussed in the rule filing, FINRA Rule 3110.17 provide firms the option of satisfying their inspection obligations under Rule 3110(c) remotely for calendar years 2024 and 2024, subject to specified conditions. The rule was to automatically … WebDec 2, 2024 · FINRA filed with the Securities and Exchange Commission in July its proposed changes to FINRA Rule 3110 to allow a home office to be considered a non-branch “residential supervisory location ...
FINRA Weighs Lasting Impact of Remote Work - RegEd.com
WebRecommendations Relating to Remote Work: • The SEC should work with FINRA to modernize the internal inspection requirements of FINRA Rule 3110(c) to provide firms the flexibility to conduct remote technology-assisted inspections. • The SEC should work with FINRA, coordinating with state securities regulators where applicable, WebApr 6, 2024 · The Financial Industry Regulatory Authority (FINRA) has refiled a revamped plan for brokers to allow a home office to be considered a non-branch “residential supervisory location” under certain conditions. The U.S. Securities and Exchange Commission had a statutory deadline to respond to FINRA’s Residential Supervisory … country by country notification template
FINRA’s Thoughts and Guidance on Working Remotely and
WebMar 12, 2024 · The Financial Industry Regulatory Authority (FINRA), the self-regulatory body which oversees brokers, released a statement saying traders could work remotely despite strict compliance and supervisory regulations. “In such cases, FINRA would expect a member firm to establish and maintain a supervisory system that is reasonably designed … WebFeb 17, 2024 · In comment letters filed Tuesday, dealer groups said FINRA should work with the Securities and Exchange Commission and Municipal Securities Rulemaking Board to make potential rule changes more ... WebAug 1, 2024 · On July 27, 2024, FINRA filed a proposed rule change with the SEC that would “modernize” its supervision rule to make permanent pandemic-related temporary … brettonwood apartments lowell ma