P. Sean Kelly

P. Sean Kelly

King & Spalding

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SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers

Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more

2/8/2024  /  Broker-Dealer , Data Collection , Financial Industry Regulatory Authority (FINRA) , Regulatory Requirements , Remote Working , Required Documentation , Risk Assessment , Securities and Exchange Commission (SEC)
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