Regulatory Outlook | 07.20.20
FINRA May Modify Rulebook, Supervision in Light of Virus
FINRA will consider changes to its rules for broker-dealers that will continue to work remotely after the pandemic has passed. FINRA CEO Robert Cook says he has heard from firms that some employees may return to offices, but not everyone is expected to return to their office. Cook says this reality "has implications for our work, our supervision of the firms; that’s a dialogue that we’d like to have with firms: Where do they see the future of their workplace going so that we can adjust our rulebook, our supervisory oversight.”
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