WebSeptember 20, 2024, 8:34 p.m. EDT 6 Min Read Financial advisors love the freedom and autonomy that come from working remotely, a trend that emerged when the pandemic first upended work life in... WebFeb 25, 2024 · Firms called for FINRA to make its temporary ... The 12 Best Business Books of 2024 for Advisors ... due to the “expected greater use of remote offices and …
Financial Advisor IQ - Content Page
WebMar 28, 2024 · The remote office inspections have now been extended through the end of 2024. The new proposals on remote and hybrid work environments will be made public … WebSep 15, 2024 · September 15, 2024 FINRA is proposing to extend the ability of firms to have remote inspections until June 30, 2024. As discussed in the rule filing, FINRA Rule 3110.17 provide firms the option of satisfying their inspection obligations under Rule 3110 (c) remotely for calendar years 2024 and 2024, subject to specified conditions. how to change inplay keyboard color
FINRA Remote Inspections Pilot Program Proposal
WebSIFMA and Protiviti conducted a survey to resolve concerns about remote inspections during the ... On-site inspections are far less relevant in the current work environment, which is largely a distributed model in which physical branches maintain much less significance than they have in the past because of the widespread use of electronic … WebNov 30, 2024 · In the interim, Finra has proposed extending temporary relief from in-person inspections that was set to expire at the end of 2024. The SEC, which had approved the hiatus for 2024, 2024 and 2024 ... Web12 hours ago · Thursday, April 13, 2024. Securities firms and the brokers that work in them have a lot of rules and regulations that they need to follow. Some of the obligations that are the most likely to fall ... michael jordan greatest player of all time