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Balancing Supervision in a Virtual Environment: Key Points of FINRA s New Voluntary Remote Inspections Pilot Rule | Moore & Van Allen PLLC

Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the.

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FINRA Adopts New Residential Supervisory Location Rule on Remote Work for Associated Persons

The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified…

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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.

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SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers | King & Spalding

Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the.

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Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its Membership Can you hear me now??? | Bryan Cave Leighton Paisner

Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its Membership Can you hear me now??? | Bryan Cave Leighton Paisner
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