Web14 minutes ago · Finra first filed its proposal for a tougher expungement process in September 2024 but withdrew it in May 2024 following discussions with the SEC. In May … WebIn an Aug. 23 letter to the SEC, NASAA noted that abuses had occurred under FINRA's emergency work-from-home policies, put in place after the pandemic struck the U.S. in March 2024. In December ...
Tweaks to second remote work proposal show FINRA struggling …
WebDec 31, 2024 · Work from Home . FINRA’s proposed changes to Rule 3110 would, under certain circumstances, allow organizations to classify home offices as non-branch “residential supervisory locations.” FINRA … WebApr 8, 2024 · A: Yes. Pursuant to SR-FINRA-2024-026 as extended by SR-FINRA-2024-043 and SR-FINRA-2024-005, FINRA has adopted temporary Supplementary Material .07 under FINRA Rule 1220 providing that individuals who were designated to function as Operations Professionals prior to March 3, 2024 will be given until June 30, 2024 to pass the … suriani othman
Finra Sets Year-End Deadline for More Flexible WFH Rules
WebJun 10, 2024 · FINRA, the government-authorized nonprofit organization that oversees broker-dealers in the securities industry, recently issued a regulatory notice on how to manage a remote work environment during the COVID-19 pandemic. FINRA’s notice aims to help firms conduct the required oversight of all trading activity, even from employees’ … WebApr 12, 2024 · FINRA hopes to align its supervisory rules with current work-from-home practices. FINRA recently re-proposed amendments to its supervision rule that would enable firms to treat a private residence as a non-branch location even if specified supervisory activities are conducted there. Dubbed by FINRA as a Residential … Webwork arrangements for supervisors, which permit them to work from home for one or more days a week, a few days a month, or a certain amount a year, carry regulatory implications that cannot be ignored. ... 6 FINRA, Proposed Rule Change to Adopt Supplementary Material. 19 (Residential Supervisory Location) under FINRA Rule 3110 ... suriana botanic conservation gardens