05.17.23

FINRA Plans More Remote Work Rules

The Financial Industry Regulatory Authority (FINRA) is planning more remote work rules as well as an update to its outside business activity rule, CEO Robert Cook said at FINRA’s annual conference. Cook noted two proposals, on branch office inspections and remote inspections, with “hopefully more to come.” The new plan, which FINRA is preparing to file with the U.S. Securities and Exchange Commission soon, would pertain to the suppression of private residence address information on BrokerCheck. Other rules that need updating, Cook said, include the outside business activity rule.

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