Finra Submits Rule Changes on Remote Inspections

Mar 25, 2022

The Financial Industry Regulatory Authority’s board of governors has approved several rule proposals last week, including those governing remote inspections.

The board submitted “several proposals related to member firms’ supervision obligations and process-related changes in response to remote and hybrid work environments,” without offering details, to the Securities and Exchange Commission, according to a statement Finra published on Wednesday.

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Author: By Alex Padalka   (Financial Advisor IQ)


FINRA News and Information compiled by Costello Law Group. See source for full story.