FINRA Seeks Public Input on Rule Modernization

Posted on April 3rd, 2025 at 2:26 PM
FINRA Seeks Public Input on Rule Modernization

From the desk of Jim Eccleston at Eccleston Law

The Financial Industry Regulatory Authority (FINRA) is conducting a comprehensive review of its rules and is soliciting feedback from industry participants. According to ThinkAdvisor, the review aims to modernize regulations, particularly concerning remote work and branch office requirements.

As part of this effort, FINRA has identified two key areas for targeted feedback: 

Capital Formation: The review will examine regulations affecting capital acquisition brokers (CABs) and other limited-purpose broker-dealers that facilitate capital raising. It will also assess rules governing research analysts, research reports, and other regulatory processes related to capital formation. 

Modern Workplace: FINRA is evaluating requirements for branch offices and remote work policies, as well as credentialing and education for registered representatives. Additionally, the review will consider updates to internal and customer communication methods, such as electronic delivery, and recordkeeping practices, particularly regarding communications, according to ThinkAdvisor.

 

Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

Tags: eccleston, eccleston law, finra

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