The SEC set a deadline of August 15, 2023 for comments to be submitted on proposed amendments to a prior FINRA proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location." The comment deadline was published in the Federal Register.
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The SEC set a comment deadline of May 30, 2023 for an MSRB rule proposal to (i) extend remote office inspection relief until June 30, 2024 and (ii) remove references to expired pandemic-related relief for brokers-dealers and municipal securities dealers.The proposal was published in the Federal Register.
The SEC opened a new comment period on a proposal to adopt a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.
The Office of Compliance Inspections and Examinations observed compliance deficiencies for investment advisers with branch offices and geographically dispersed operations.