The MSRB established the 2024 criteria for designating participants for the next mandatory functional and performance testing of business continuity and disaster recovery plans.
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FINRA proposed amendments to make permanent previously-issued COVID-related procedural relief that would allow video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council.
FINRA proposed to extend the expiration date on previously issued COVID-related relief.
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.
FINRA proposed extending temporary Supplementary Material .17 under FINRA Rule 3110 ("Supervision") to allow remote office inspections through calendar year 2023.