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The pilot program is in response to major changes in workplace models and compliance among broker-dealers.
Nearly one-quarter or 22 percent of FINRA member firms have volunteered to participate in a pilot program that would allow them to complete their inspection obligations “without an on-site visit” from a FINRA official, according to the self-regulatory organization (SRO) for U.S. broker-dealers. FINRA notes that 741 firms are participating in the initial pilot, and...
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