WebJan 10, 2024 · FINRA’s intent is that the Report be an up-to-date, evolving resource or library of information for member firms. To that end, the Report builds on the structure … WebRecommendations Relating to Remote Work: • The SEC should work with FINRA to modernize the internal inspection requirements of FINRA Rule 3110(c) to provide firms the flexibility to conduct remote technology-assisted inspections. • The SEC should work with FINRA, coordinating with state securities regulators where applicable,
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WebJan 14, 2024 · This new proposal requests to add an additional six-month extension to one implemented last fall, which currently allows remote inspections through June 30, 2024. In its proposal, FINRA states that an extension is necessary in order to address the operational challenges resulting from the pandemic. Webof the temporary amendments set forth in SR-FINRA-2024-023, which would extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections … mid michigan dental associates gladwin mi
FINRA board approves rule proposals involving remote office …
Web(Release No. 34-94018; File No. SR-FINRA-2024-001) January 20, 2024 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing ... Government, released an updated guide to telework and remote work, noting, among other things, that “[t]he COVID-19 pandemic forced even more adoption of telework and ... WebFinancial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to adopt supplementary … WebNov 10, 2024 · FINRA is proposing to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2024 and 2024, and Through December 31 of Calendar Year 2024) under FINRA Rule 3110 (Supervision) to include calendar year 2024 inspection obligations through the earlier of the effective date … mid michigan dermatology - lansing