News & Analysis as of

Inspections Remote Working

Moore & Van Allen PLLC

Balancing Supervision in a Virtual Environment: Key Points of FINRA’s New Voluntary Remote Inspections Pilot Rule

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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 offices from compliance and...more

McGlinchey Stafford

FINRA Adopts Two New Rules Impacting Remote Work by Member Firms and Associated Persons

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In a regulatory notice published on January 23, 2024, the Financial Industry Regulatory Authority (FINRA) announced the adoption of two proposed rules, both of which impact how member firms and associated persons approach...more

Goodwin

FINRA Approves Remote Branch Inspection Pilot Program

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On January 23, 2024, FINRA announced the addition of new Supplementary Material .18 to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year remote inspections pilot program (Pilot Program) to allow eligible members...more

Latham & Watkins LLP

FINRA Adopts New Residential Supervisory Location Rule on Remote Work for Associated Persons

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The new rule establishes criteria for firms to elect “non-branch” designation for a private residence where an associated person engages in specified supervisory activities....more

Goodwin

DHS Ends Temporary Suspension of Form I-9 Physical Examination Requirements and Announces Alternative Verification Procedure and...

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On July 21, 2023, the U.S. Department of Homeland Security (“DHS”) announced multiple changes to the Form I-9 process. The changes narrow the circumstances in which employers may review I-9 documentation remotely....more

Lowenstein Sandler LLP

In-Person Inspection of I-9 Documentation to Resume Following End of COVID-19 State of Emergency

For many years, employers have been required to review documentation of new hires in person to confirm they are legally authorized to work in the United States. During the COVID-19 pandemic, this requirement was put on hold,...more

Genova Burns LLC

COVID-19 Flexibilities for I-9 In-Person Document Inspections Extended to July 31, 2023, but Physical Inspections of Remotely...

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Work Authorization Background - Federal law requires employers to perform in-person inspections of new employees and their documents (as well as current employees with expiring Employment Authorization Documents (EADs) to...more

Laner Muchin, Ltd.

Important USCIS Update- Employers Should Act Now: Complete In-Person Physical I-9 Inspections and Update Forms I-9 Completed...

Laner Muchin, Ltd. on

On May 5, 2023, the U.S. Citizenship and Immigration Services (USCIS) announced that the previously issued COVID-19 temporary flexibilities allowing for the virtual review of employees’ Form I-9 documents for the Form I-9...more

Benesch

Are You Prepared for the End of the COVID-19 Form I-9 Flexibilities?

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The Form I-9 flexibilities implemented during the COVID-19 Pandemic that permitted employers to virtually review Section 1 and inspect documents establishing identity and authorization to work are ending on July 31, 2023....more

Weintraub Tobin

Deadline Approaching: Form I-9 Virtual Inspection of Employment Authorization and Identity Documents will End on July 31, 2023

Weintraub Tobin on

Employers with remote workforces should take note that they will need to begin physically inspecting new hires’ I-9 documentation again as of August 1, 2023 – and they will need to conduct a physical inspection of employees’...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

I-9 Compliance Flexibility to End on July 31, 2023; Employers Have Until August 30, 2023, to Physically Inspect I-9 Documents

U.S. Immigration and Customs Enforcement (ICE) has announced that the temporary COVID-19 accommodations for Form I-9, Employment Eligibility Verification, will expire on July 31, 2023. Employers that have been relying on the...more

Constangy, Brooks, Smith & Prophete, LLP

Virtual I-9 inspections will end July 31, in-person “make-up” inspections must be completed by August 30

As expected, the U.S. Department of Homeland Security announced last week that the COVID-19 temporary flexibilities for Form I-9, which allowed for virtual inspections, will not be extended and will end on July 31. ...more

Epiq

[Webinar] Competition and regulatory scrutiny in ‘the new normal’ - September 21st, 4:00 pm - 5:00 pm BST

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As the Covid-19 pandemic subsides, there is mounting evidence of a shift in approach by regulatory enforcement agencies around the world. Industries that have historically been at lower risk of investigation are coming under...more

Constangy, Brooks, Smith & Prophete, LLP

I-9 compliance flexibility extended till October 31, but a question remains

In March 2020, the U.S. Department of Homeland Security and U.S. Immigration and Customs Enforcement relaxed some of the I-9 compliance requirements because of the COVID-19 pandemic. One of these “flexibilities” ended this...more

Amundsen Davis LLC

OSHA’s New National Emphasis Program For COVID-19

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In response to an executive order signed by President Biden in January, OSHA recently launched a new national emphasis program focusing enforcement efforts on industries and employers most impacted by COVID-19. The...more

Proskauer Rose LLP

Broker-Dealer Beat - August 2019

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Remote Non-Branch Office Inspections: Facilitating Home Office Arrangements - Introduction - Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including...more

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