For home office

SEC Approves Finra Rules for Remote Inspection and Reduction of Broker Examinations


Author: Funds Society, Miami

  1. This change, originally proposed by Finra, reflects a significant adjustment in the supervision of stockbrokers, moving from annual reviews to once every three years for home offices
  2. The SEC's decision follows an extensive period of debate and opposition, particularly from investor advocates, who expressed concerns about the increased flexibility granted to brokers and their employers