News & Analysis as of

New Rules › Remote Working › Financial Industry Regulatory Authority (FINRA)

Moore & Van Allen PLLC

Balancing Supervision in a Virtual Environment: Key Points of FINRA’s New Voluntary Remote Inspections Pilot Rule

Moore & Van Allen PLLC on

Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the distance of these offices from compliance and...more

Latham & Watkins LLP

FINRA Releases Long-Anticipated Guidance on New Work-From-Home Exemption Ahead of Impending COVID-19 Relief Expiration

Latham & Watkins LLP on

FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more

Latham & Watkins LLP

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

Latham & Watkins LLP on

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

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide