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In a regulatory notice published on January 23, 2024, the Financial Industry Regulatory Authority (FINRA) announced the adoption of two proposed rules, both of which impact how member...
The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified…
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...
FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections.
FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch...