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California Employment News: Department of Labor Guidance on Telework
Max TV Series Industry and Drugs in the Workplace – Hiring to Firing Podcast
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Data Governance for the BYOD Age
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From Campus to Counsel: The First Hundred Days of a Law Firm Associate’s Career
DE Talk | The Hidden Benefits of Remote Work
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Guidepost in Motion EP23: The Security Challenges of Returning to the Workplace Part 2
Guidepost in Motion EP22: The Security Challenges of Returning to the Workplace Part 1
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
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
Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more
Firms would be able to treat private residences as non-branch offices instead of OSJs under certain circumstances. FINRA hopes to align its supervisory rules with current work-from-home practices....more
Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office operations by the end of the year. Yet as 2021 commences, remote work has...more
In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more
In light of the threats posed by natural disasters, pandemics and civil disorder, among other events, businesses of all types must formulate responses to address significant business disruptions (“SBDs”) and the safety of...more
Remote Non-Branch Office Inspections: Facilitating Home Office Arrangements - Introduction - Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including...more