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."
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 MSRB proposed to further extend remote office inspection relief and (ii) remove references to expired pandemic-related relief for brokers, dealers and municipal securities dealers.