09.26.23

FINRA To Extend Band-Aid Fix Allowing Remote Inspections Into 2024

The Financial Industry Regulatory Authority (FINRA) has told the U.S. Securities and Exchange Commission (SEC) that it plans to extend a temporary program allowing member firms to remotely inspect their brokers’ offices. In a request filed with the SEC on September 22, FINRA officials said it would delay the program’s expiration until June 2024. It was otherwise set to terminate at the end of this year.

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