WebSep 16, 2024 · The temporary rules were due to expire on Dec. 31. Under a proposal Finra filed on Tuesday with the Securities and Exchange Commission, remote inspections … WebSep 16, 2024 · FINRA has extended remote inspections of brokerage branch offices from 31 December 2024 through June 2024, with the SEC saying the extension is in …

20568 Federal Register /Vol. 88, No. 66/Thursday, April 6, …

WebFile No. SR-FINRA-2024-021, if approved, or December 31, 2024 within the scope of the supplementary material.4 The proposed extension of Rule 3110.17 would alleviate the … WebJan 14, 2024 · Alas, FINRA has addressed this reality by proposing a rule change that would allow brokerages to conduct remote inspections of branch offices through December 31, 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. … cornwall hypnobirthing

FINRA extends relief for onsite office inspections through 2024

WebThe last 18 months have demonstrated remote inspections work well. In response to significant ongoing health and safety concerns and operational challenges due to the COVID-19 pandemic, FINRA adopted temporary relief in November 2024 to provide member firms the option – subject to certain requirements for investor protection – to … Webthereunder,2 a proposed rule change (SR-FINRA-2024-021) to amend FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspection pilot program to allow member firms to elect to fulfill their obligation under … cornwall hydro careers