Tag Archives: Regulatory Notice 17-38

FINRA Requests Comments on Proposal for Remote Inspections of Branch Offices

FINRA’s responded to industry feedback on the inspection process for branch offices.  Based on Rule 3110 (the Supervision Rule),  each firm to currently required to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA … Continue reading FINRA Requests Comments on Proposal for Remote Inspections of Branch Offices