Battle lines drawn after SEC backs fiduciary standard investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.
Finra CEO wants to extend remote branch office inspections into 2022 investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.
FINRA Hopes to Extend Remote Branch Office Exams Into Next Year FINRA President Robert Cook reiterated the need for exams to remain remote into 2022, and said the rule may need to take a more risk-based approach going forward, he said, at SIFMA s Legal & Compliance Forum.
Financial Industry Regulatory Authority President and CEO Robert Cook said he wants examinations of firms’ branch offices to stay remote into next year, speaking at the Securities Industry and Financial Markets Association’s (SIFMA) virtual Legal & Compliance Forum this week. FINRA is currently in talks with the Securities and Exchange Commission about extending the remote exam option.