FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit directives on supervision of all persons related to the broker dealer in order to stay in compliance with all applicable FINRA rules and regulations. Although it takes a solid compliance program to achieve this, it has been manageable. Enter COVID-19: “Stay at home for two weeks to flatten the curve” they said. With that, employees packed up their work, and so began the lifestyle of working from home (“WFH”). The Financial Industry Regulatory Authority had to ease up on broker dealer’s completing branch audits during this time simply due to Read more about FINRA Rule 3110 Amendment Proposals[…]