WASHINGTON--(BUSINESS WIRE)--A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post. The pilot program provides ...
State securities regulators continue to resist Finra’s efforts to allow brokerages to conduct online supervision of branch offices. The state regulators’ organization, the North American Securities ...
Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the distance of these ...
Law360 (July 12, 2024, 4:17 PM EDT) -- The Financial Industry Regulatory Authority's new pilot program for remote inspections of broker-dealers has earned praise from attorneys, who say the measures ...
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