FINRA Reevaluates Its Office Categories

Partner Ben Marzouk speaks with ThinkAdvisor about FINRA’s recent request for comments on its rules that address the evolving hybrid work environment for broker-dealers, including how to amend its office categories.

The notice, which requests comments by June 13, asks for "specific comments on how [FINRA's] office supervision rules could be more effectively streamlined, especially in light of recent technological developments that have created a more remote and hybrid workforce," Ben said.

 "FINRA’s reevaluation of their office categories, and so soon after their launch of the remote inspection pilot and residential supervisory location rules, reflects FINRA’s continued reevaluation of their branch office rules with a goal of modernizing the entire FINRA rulebook." 

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