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FINRA Seeks to Ease Worries on New Home Office Rules
News May 23, 2024 at 02:28 PM
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What You Need To Know
- Some BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
- The regulator issued a statement emphasizing that the new rules were intended to create more flexibility while ensuring home offices were subject to inspection.
- Comments by compliance officers about operational challenges created by the rules might have spurred the statement, a compliance pro says.
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