WebApr 12, 2024 · The Financial Industry Regulatory Authority has revised its plan involving the use of home offices as non-branch locations, according to ThinkAdvisor. FINRA refiled the amended plan with the Securities and Exchange Commission. It involves proposed changes to FINRA Rule 3110, which. requires member firms to maintain a system of supervising … WebApr 14, 2024 · FINRA Tightens Work-From-Home Rule Plan for Brokers. Goldman Fined $3M for Marking 60M Short Sales as Long. Ex-Broker Gets 4-Year Prison Sentence for $2.5M Tax Evasion. Resource Center
FINRA Tightens Work-From-Home Rule Plan for Brokers
WebJun 19, 2024 · A recent notice and FAQs from FINRA gives compliance officers with remote workforces broad insights into the agency’s approach to remote work and supervision risks, which will be increasingly important given that remote work arrangements are likely here to stay, says Marc Gilman, general counsel and vice president of compliance at Theta Lake. Web1 day ago · FINRA's changes to its pilot program proposal come a couple weeks after the regulator withdrew and revised another rule related to remote work. On March 29, FINRA submitted provisions to a ... red decorative spheres for bowls
Statement of Changes in Immigration Rules UK Home Office Issues
WebSep 29, 2024 · FINRA Tightens Work-From-Home Rule Plan for Brokers. Goldman Fined $3M for Marking 60M Short Sales as Long. Ex-Broker Gets 4-Year Prison Sentence for $2.5M Tax Evasion. Resource Center WebFINRA Tightens Work-From-Home Rule Plan for Brokers The Financial Industry Regulatory Authority has refiled with the Securities and Exchange Commission a… Web14 hours ago · Just before deadline, FINRA redoes home work assignment The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home. red decorative tray