State regulators continue to oppose Finra remote supervision pilot program
Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial.
State securities regulators continue to resist Finra’s efforts to allow brokerages to conduct online supervision of branch offices.
The state regulators’ organization, the North American Securities Administrators Association, has been a consistent opponent of the Financial Industry Regulatory
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