FINRA members can voluntarily elect to participate by June 30, 2024. The Pilot Program is likely the first step toward FINRA permanently approving remote inspections of branches, OSJs, and non-branch ...

A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA has announced in a blog post. The 741 participant firms represent 22% of FINRA member firms.

FINRA Rule 3110(c)(1) requires broker-dealers to conduct onsite inspections of their offices of supervisory jurisdiction (OSJs), branch offices and non-branch locations. In response to the COVID-19 ...

DLS Marine received approval from ABS for remote inspection, and it is leveraging advanced drone + software tech to make the process of tank inspection more efficient and less dangerous. The business ...

The Financial Industry Regulatory Authority plans to extend its remote inspections program, according to a filing with the Securities and Exchange Commission. In November 2020, Finra introduced a ...

FINRA is asking for yet another extension of an emergency order allowing broker-dealers to inspect their branch offices remotely rather than in-person. Processing Content The proposal, submitted on ...

'It's supervision by Zoom,' PIABA says, while Finra says the new rules reflect hybrid work arrangements while protecting investors. By Mark Schoeff Jr. A lawyer who represents investors in disputes ...

During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely in many ways. Data from a new survey – conducted by SIFMA and Protiviti ...

" Remote Video Inspections have evolved into a cornerstone of modern building department operations, " said Steve Nero, Vice President of Sales at SAFEbuilt. " Cities today are looking for solutions ...