Letters

Proposal to Amend FINRA Rule 3110

Summary

SIFMA provided comments to the Financial Industry Regulatory Authority (FINRA) in Regulatory Notice 17-38, regarding a proposal to amend Rule 3110 to provide firms the option to conduct remote inspections of offices and locations meeting specified criteria.

See also:
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria

PDF

Submitted To

FINRA

Submitted By

SIFMA

Date

12

January

2018