As the leader of Tulsa Remote, the largest remote worker attraction program in the country, you might be surprised to know ...

Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely. The Financial Industry Regulatory ...

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.

'It's supervision by Zoom,' PIABA says, while Finra says the new rules reflect hybrid work arrangements while protecting investors. By Mark Schoeff Jr. A lawyer who represents investors in disputes ...

"All things remote inspections, return to the office and the definition of branch offices." Those are the three topics that Kayte Toczylowski, the vice president of member relations and education at ...

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 ...

Forbes contributors publish independent expert analyses and insights. Jack Kelly covers career growth, job market and workplace trends. Jun 03, 2024, 06:00am EDT Rather than comply with FINRA's ...

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 ...