The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.
(Bloomberg) As Wall Street bosses warn employees that regulatory changes are about to end their days of working from home, the watchdog in charge has a blunt message: Stop blaming us.Most Read from BloombergThese Flight Routes Suffer the World’s Worst TurbulenceCiti Trader Got 711 Warning Messages Before Sparking Flash CrashNvidia Rallies Anew After Rosy Forecast Shows AI Boom Is StrongOne Dead After Singapore Air Flight Hit By Severe Turbulence“There is no rule requiring registered persons t
For Investment Advisors + Broker-Dealers - Sweeping Ukraine/Russia Related Sanctions in the U.S. and Abroad. The U.S. announced and continues to update its sanctions against.
The 2022 Report on FINRA’s Examination and Risk Monitoring Program was released on February 9th. This is the second year of the annual Report that replaced the FINRA Priorities Letter..