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FINRA Approves Remote Branch Inspection Pilot Program - Financial Services

FINRA members can voluntarily elect to participate by June 30, 2024. The Pilot Program is likely the first step toward FINRA permanently approving. ....

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FINRA Approves Remote Branch Inspection Pilot Program | Goodwin

On January 23, 2024, FINRA announced the addition of new Supplementary Material .18 to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspections pilot program. ....

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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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