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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A fund administrator settled charges with the SEC for failing to identify "red flags" of fraudulent behavior on the part of one of its hedge fund clients.
Banking agencies set a comment deadline of September 19, 2023 for proposed risk management guidance concerning "reconsiderations of value" in real estate transactions.
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."