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 ...
Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial. By Mark Schoeff Jr. State securities regulators ...
Securities regulators have long been concerned with the potential regulatory risks associated with geographically dispersed broker-dealer offices, citing the observation that the distance of these ...
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