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Remote FINRA Inspections Raise Misconduct Risk: PIABA
News July 02, 2025 at 03:05 PM
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What You Need To Know
- PIABA wieghed in on FINRA's remote inspections as part of a broad review of the SRO's rules.
- FINRA should reconsider its Pilot Program’s structure and adopt more robust safeguards, PIABA said.
- The flexibility granted by the Pilot Program "creates a significant gap in supervision, particularly for representatives operating out of residential or remote offices," PIABA told FINRA.
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