It's Time!
- Determine your firm's eligibility
- Ensure your plan meets FINRA's requirements
- Learn about required updates to procedures
In order for the firm to be able to participate in the Remote Inspection Pilot, it must meet certain eligibility criteria. Additionally, there are certain firm-level conditions that must be met. Once it is determined that the firm is eligible and that firm-level conditions have been met, each location considered for a remote inspection will need to meet location-level eligibility criteria and conditions.