News & Analysis as of

Inspections Compliance Remote Working

Goodwin

FINRA Approves Remote Branch Inspection Pilot Program

Goodwin on

On January 23, 2024, FINRA announced the addition of new Supplementary Material .18 to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspections pilot program (Pilot Program) to allow eligible members...more

Latham & Watkins LLP

FINRA Adopts New Residential Supervisory Location Rule on Remote Work for Associated Persons

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The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified supervisory activities....more

Amundsen Davis LLC

OSHA’s New National Emphasis Program For COVID-19

Amundsen Davis LLC on

In response to an executive order signed by President Biden in January, OSHA recently launched a new national emphasis program focusing enforcement efforts on industries and employers most impacted by COVID-19. The...more

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