The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight. By Mark Schoeff Jr. Finra will allow brokerages to conduct online ...

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 ...

Broker-dealers who don't sign up for a pilot program allowing them to maintain their remote-working arrangements may find themselves feeling they've stepped into a time warp back into pre-COVID days.

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.

Finra wants to allow brokerages to conduct remote inspections of branch offices through the end of the year. A temporary rule in response to the coronavirus pandemic has relieved Financial Industry ...

WASHINGTON--(BUSINESS WIRE)--A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post. The pilot program provides ...