FINRA proposed amendments to a previously proposed three-year pilot program to allow member firms to meet their remote office inspection obligations without on-site visits.
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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.
FINRA proposed clarifying amendments and new definitions to its prior proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location."
FINRA filed a proposed rule change with the SEC to implement a three-year pilot program to allow member firms to meet their internal inspections obligations without the need for on-site visits to an office or location.
Comments on the FINRA rule proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location" are due on April 27, 2023.