Decoding FINRA Rule 3110: Key Insights for Branch Inspections
Register for October 1, 2024 @ 11AM CT
Webinar Description
FINRA's new Remote Inspection Pilot Program and recent updates to office classifications are reshaping compliance practices for member firms. This webinar will provide critical insights into these changes, focusing on practical implications and effective strategies for compliance teams.
Join us to discuss the potential benefits, challenges, and long-term implications of these new regulations for firms in the evolving landscape of hybrid work environments.
Quest CE is pleased to host Jamie Schlag and Sander Ressler from Essential Edge Compliance Outsourcing Services, a leading national provider of branch inspections. The webinar will conclude with an open Q&A session where our panelists will address specific audit-related questions from participants.