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

February 9, 2024
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...
Commodity Exchange Restricted Firm Under Rule Financial Industry Regulatory Authority Inc Pilot Program Pilot Program Year Pilot Program Is
Source: jdsupra.com

FINRA Announces Effective Dates for Remote Inspections Pilot Program & Residential Supervisory Location Rules; COVID-19 Relief Ends | Mayer Brown

February 6, 2024
The Financial Industry Regulatory Authority, Inc. (“FINRA”) announced via Regulatory Notice 24-02 (the “Notice”) the effective dates and other important timeframes for new FINRA Rules...
Remote Inspections Pilot Program Financial Industry Regulatory Authority Inc Financial Industry Regulatory Authority Regulatory Notice Residential Supervisory Location
Source: jdsupra.com

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