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

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

Published: 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...

Source: jdsupra.com
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FINRA Announces Effective Dates for Remote Inspections Pilot Program & Residential Supervisory Location Rules; COVID-19 Relief Ends | Mayer Brown - Vimarsana News

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

Published: 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...

Source: jdsupra.com
Related Topics:
Remote Inspections Pilot ProgramFinancial Industry Regulatory Authority IncFinancial Industry Regulatory AuthorityRegulatory NoticeResidential Supervisory Location