FINRA members can voluntarily elect to participate by June 30, 2024. The Pilot Program is likely the first step toward FINRA permanently approving remote inspections of branches, OSJs, and non-branch ...

A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA has announced in a blog post. The 741 participant firms represent 22% of FINRA member firms.

A total of 741 Finra member firms have opted-in to the first part of a three year pilot assessing remote inspections of branches and offices. Eligible member firms can satisfy their obligations for ...

FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 ...

The Financial Industry Regulatory Authority plans to extend its remote inspections program, according to a filing with the Securities and Exchange Commission. In November 2020, Finra introduced a ...

FINRA is asking for yet another extension of an emergency order allowing broker-dealers to inspect their branch offices remotely rather than in-person. Processing Content The proposal, submitted on ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely in many ways. Data from a new survey – conducted by SIFMA and Protiviti ...