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 ...

Financial Industry Regulatory Authority President and CEO Robert Cook said he wants examinations of firms’ branch offices to stay remote into next year, speaking at the Securities Industry and ...

On Monday, Finra filed a proposal with the Securities and Exchange Commission to extend the remote-inspection rule again until the end of the year. “The proposed additional six-month extension … is ...

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 deposit capture lets you deposit checks remotely using images. This technology simplifies banking by eliminating trips ...