FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections. In ...

A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA has announced in a blog post. The 741 participant firms represent 22% of FINRA member firms.

A total of 741 Finra member firms have opted-in to the first part of a three year pilot assessing remote inspections of branches and offices. Eligible member firms can satisfy their obligations for ...

FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 ...

Firms say technological advances allow them to oversee reps no matter where they work. A compliance expert cautions that the best evidence of malfeasance is found on site. By Mark Schoeff Jr. It’s ...

FINRA is asking for yet another extension of an emergency order allowing broker-dealers to inspect their branch offices remotely rather than in-person. Processing Content The proposal, submitted on ...

During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely in many ways. Data from a new survey – conducted by SIFMA and Protiviti ...

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" Remote Video Inspections have evolved into a cornerstone of modern building department operations, " said Steve Nero, Vice President of Sales at SAFEbuilt. " Cities today are looking for solutions ...