A: FINRA requires member firms to establish and maintain supervisory systems for each of their associated individuals. Firms are also required to test their procedures on an annual basis and verify ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
Firms will be able to treat private residences from which certain supervisory activity is conducted as non-branch offices instead of OSJs. The adoption comes after nearly two years of FINRA efforts to ...
Statement of National Bank of Georgia: With the intention to reduce the negative effects caused by coronavirus (COVID-19) pandemic and promote Georgian economy, the National Bank of Georgia has ...
NEW YORK(Thomson Reuters Regulatory Intelligence) - *To read more by the Thomson Reuters Regulatory Intelligence team click here: bit.ly/TR-RegIntel As the remote working environments common to the ...
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