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.
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FINRA filed a proposed rule change to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location," which would make the location subject to inspections on a regular periodic schedule.
A CPO/CTA settled CFTC charges of supervisory failures that allowed “disruptive, reckless, and disorderly” employee trading practices.
In a new Risk Alert, the SEC Division of Examinations highlighted compliance deficiencies of newly registered investment advisers.
A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.