New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the […]
Continue readingMore TagMonth: January 2024
FINRA Announces Effective Dates for Remote Inspections Pilot, Residential Supervisory Locations and the End to Pandemic-Related Relief
FINRA has published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs). In addition, they announced the end to pandemic-related regulatory relief that temporarily suspended the requirement to maintain updated Form U4 and Form BR information regarding the office of employment address for registered persons who temporarily relocated and newly opened temporary office locations or space-sharing arrangements. Remote Inspection Pilot (Pilot) ~ FINRA Rule 3110.18 The Pilot is expected to kickoff July 1, 2024 and will run through June 30, 2027. Following are the timeframes for each Pilot Year. […]
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