At the September FINRA Board of Governors meeting, the Board authorized publishing for comment two proposed rulemaking items. One would permit firms to use technology to conduct remote inspections of offices engaged in certain low-risk activities, which in turn would enable firms to reallocate compliance resources to activities that pose greater risks to investors.  The … Continue reading FINRA Board Approves Rule Proposals on Low Risk Branch Exams and Expanded BrokerCheck Discosures →