FINRA Requests Comment on Potential Changes to Workplace and Other Rules

FINRA Regulatory Notice 25‑07 (Notice), entitled “Supporting Modern Member Workplaces,” seeks input on how the agency can “further evolve its rules, guidance and processes to reflect modern business practices and markets; support innovation and new technologies; promote efficiency; and eliminate unnecessary regulatory burdens – all in the interest of supporting vibrant capital markets in which everyone can participate with confidence.” The Notice solicits comments on rules for branch offices and hybrid work; registration processes; associated persons’ qualifications; communications with customers and associated recordkeeping; certain compensation arrangements; fraud protections; and potential changes to FINRA systems. Comments, which will be made public, should be submitted by July 14, 2025. This article discusses the Notice, with commentary from W. Hardy Callcott, partner at Sidley Austin LLP. See “A Look at FINRA’s 2025 Oversight Report” (Mar. 13, 2025).

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