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FINRA (Finally) Adopts Work-From-Home Supervisory Location Category and Requirements | Goodwin

Firms will be able to treat private residences from which certain supervisory activity is conducted as non-branch offices instead of OSJs. The adoption comes after nearly two years of.

United statesRemote inspection pilot programTaping firm under ruleRestricted firm under ruleAmerican securities administrators associationPublic investors advocate bar associationFirm ineligibilityResidential supervisory locationRestricted firmTaping firmContinuing membership application

FINRA Publishes 2024 Annual Regulatory Oversight Report - Financial Services

On January 9, 2024, the Financial Industry Regulatory Authority, Inc. ("FINRA") published the 2024 FINRA Annual Regulatory Oversight Report (the "Report").

United statesMayer brownFirm operationsFinancial industry regulatory authorityNational associationNational securities exchangesPublic companies exchange actAssociation of securities dealers incSecurities exchangeTechnology managementChannel communicationsAcquisition companies spacsApplication programKentucky association of manufacturersExchange act release noExchange commission

FINRA Exam Targets Broker Crypto Asset Communications - Fin Tech

FINRA recently announced targeted exams of its members focused on certain retail communications concerning "crypto asset" products and services between July 1, 2022 and September 30, 2022.

Advertising regulation departmentSecurities act registeredContinuing membership applicationNew membership applicationsMembership applicationsFinra exam targets broker crypto asset communicationsFinance and bankingFinancial servicesFin tech

The Song Remains the Same - FINRA s Riff on High-Risk Brokers and Firms | Bryan Cave Leighton Paisner

Key Takeaways: ..On September 28, 2021, FINRA released Regulatory Notice 21-34 which introduces additional new rules aimed at addressing high risk or “recidivist”.

Member firm pending eventsMember firm adjudicated eventsRestricted firmFirm associationDepartment of member regulation decisionHigh risk broker initiativeExpressed concerns regarding high riskRisk brokerExamination priorities letterExamination priorities lettersThat ruleContinuing membership applicationRestricted deposit requirementRestricted depositFlow chartPreliminary criteria

FINRA Proposes Conforming Amendments To Its Continuing Member Application Form - Corporate/Commercial Law

FINRA Proposes Conforming Amendments To Its Continuing Member Application Form - Corporate/Commercial Law
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