The U.S. Department of Homeland Security and U.S. Immigration and Customs Enforcement (ICE) has announced that employers must correct Form-I-9s completed using the virtual remote flexibilities offered ...

A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA has announced in a blog post. The 741 participant firms represent 22% of FINRA member firms.

FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections. In ...

SAFEbuilt, a national leader in community development and building department services, announced the continued expansion of its Remote Video Inspection (RVI) technology, helping municipalities and ...

FINRA is asking for yet another extension of an emergency order allowing broker-dealers to inspect their branch offices remotely rather than in-person. The proposal, submitted on Sept. 22, comes as ...

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 ...

Firms say technological advances allow them to oversee reps no matter where they work. A compliance expert cautions that the best evidence of malfeasance is found on site. By Mark Schoeff Jr. It’s ...

Finra didn't provide details about the rules, which will be made public when they're submitted to the Securities and Exchange Commission. By Mark Schoeff Jr. The Finra board approved regulatory ...

London /PRNewswire/ - Harvest Technology Group Limited (Harvest) today announced global availability for its flagship product, RiS™ (Remote Inspection System). RiS delivers high-fidelity video, ...

During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely in many ways. Data from a new survey – conducted by SIFMA and Protiviti ...

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 ...

The industry has a huge demand for appraisals but an ever-shrinking number of appraisers available to conduct them. Incenter Appraisal Management’s RemoteVal technology allows appraisers to cut out ...