WebApr 12, 2024 · FINRA hopes to align its supervisory rules with current work-from-home practices. FINRA recently re-proposed amendments to its supervision rule that would enable firms to treat a private residence as a non-branch location even if specified supervisory activities are conducted there. WebIn recognition of the significant technology and industry changes that are impacting workplace arrangements, FINRA is proposing to adopt new Supplementary Material .19 under Rule 3110 to establish a Residential Supervisory Location that would be treated as a non-branch location (i.e., an unregistered office), subject to specified investor …
FINRA Tightens Work-From-Home Rule Plan for Brokers
WebApr 11, 2024 · FINRA hopes to align its supervisory rules with current work-from-home practices. FINRA recently re-proposed amendments to its supervision rule that would enable firms to treat a private residence ... Web0 Regulatory Notice 20-16 (May 2024) sharing practices implemented by firms to transition to, and supervise in, a remote work environment during the pandemic; 0 Information … hifly 2.0
Finra Sets Year-End Deadline for More Flexible WFH Rules
WebDec 2, 2024 · The proposed amendment “would allow a home office to be considered residential supervisory location and then create rules and procedures for the supervision of same,” PIABA states. The ... WebMay 28, 2024 · This Notice is not intended to create new obligations, nor does it relieve firms of any existing obligations under federal securities laws and regulations.; See FINRA … WebA work from home (WFH) policy is a document that sets expectations for remote work. In many cases, WFH policies also outline the steps employers and employees need to follow in order to apply for and approve work from home privileges. The more information an organization provides, the more secure, effective, and productive working from home … hiflow场景连接器