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 ...

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 ...

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.

Eagle Eye Innovations (EEI) has proudly become the first organisation in the UK to be approved by the Civil Aviation Authority (CAA) as a Recognised Assessment Entity – Pilot Competence (RAE(PC)), a ...