FINRA's rules evolving work models — hybrid remote —provide member firms greater flexibility their registered persons work home. new Residential Supervisory Location (RSL) Rule Remote Inspections Pilot Program Rule intended provide member firms greater flexibility — less — allow eligible registered persons work home, the .
The die cast: FINRA published Regulatory Notice 24-02 (RN 24-02) announcing effective dates other key dates considerations its adopted Residential Supervisory Location (RSL) Remote Inspection Pilot Program (Pilot Program) rulemakings, be codified FINRA Rules 3110.19 3110.18, respectively. Together, rules offer FINRA member firms .
May 31, 2024 : of COVID-19 relief under Regulatory Notice 20-08: June 1, 2024 : first day firm use RSL designation (Rule 3110.19 effective date) Firms previously relying the Notice 20-08 Relief comply the timeframes in Article V, Section 2 Article IV, Section 8 the FINRA By-Laws.
Summary COVID-19 pandemic significantly affected firms' day-to-day operations the securities industry, including requiring firms transition or their staff remote work environments implement remote supervisory practices. FINRA committed providing guidance, updates other information help firms stakeholders stay informed the latest regulatory .
Summary response the coronavirus (COVID-19) pandemic, member firms made rapid unprecedented to business operations order prioritize health safety firm personnel investors, maintaining public's access capital markets. changes include widespread of remote offices alternative work arrangements new expanded .
Alert. FINRA Adopts New Rules Impacting Remote Work Member Firms Associated Persons. March 22, 2024. Read Time: 3 mins. a regulatory notice published January 23, 2024, Financial Industry Regulatory Authority (FINRA) announced adoption two proposed rules, of impact member firms associated persons approach remote work.
In regulatory notice published January 23, 2024, Financial Industry Regulatory Authority (FINRA) announced adoption two proposed rules, of affect member firms associated persons approach remote work. Residential Supervisory Location Designation (Rule 3110.19) Rule 3110.19 addresses member firms associated persons treat private residences.
In place, Finra implement new rules govern remote supervision were approved the Securities Exchange Commission November. measure, will change .
The adoption after two years FINRA efforts align supervisory rules current work-from-home practices, significant pushback the North American Securities Administrators Association, Public Investors Advocate Bar Association, other key industry groups arguing permitting remote supervision .
FINRA the SEC significantly relaxed current rule's stipulations the COVID-19 pandemic accommodate need remote work, recognizing new reality a hybrid fully remote work environment, FINRA proposed extending flexibility post-COVID some limitations, including:
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