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Analysis

FINRA's Remote Inspection Pilot Met With Praise, Caution

By Sarah Jarvis (July 12, 2024, 4:17 PM EDT) -- The Financial Industry Regulatory Authority's new pilot program for remote inspections of broker-dealers has earned praise from attorneys, who say the measures accommodate the reality of remote work routines, but they're waiting to see how the chips fall on questions including the adequacy of the regulator's data security measures....

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