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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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FINRA Re-Proposes Work-From-Home Supervisory Locations - Fund Finance

Firms would be able to treat private residences as non-branch offices instead of OSJs under certain circumstances. FINRA hopes to align its supervisory rules with current work-from-home practices. ....

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Summary of SIFMA's Monthly Luncheon on FINRA's 2023 Priorities and Examination Findings | Reed Smith

On January 18, 2023, Reed Smith sponsored the first SIFMA monthly luncheon of 2023 at the Harvard Club in New York City. The luncheon was very well attended, attracting over 100. ....

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