Compliance News: FINRA Coronavirus (COVID-19) Pandemic Resources & FAQs

Written By Brandon Klerk

Due to the coronavirus pandemic (COVID-19), FINRA has provided temporary relief for member firms from rules and requirements in the Frequently Asked Questions page linked below. The relief provided does not extend beyond the identified rules and requirements. F

As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided. When appropriate, FINRA will publish a Regulatory Notice announcing a termination date for the regulatory relief that will provide member firms with time to make necessary operational adjustments.

Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic

https://www.finra.org/rules-guidance/key-topics/covid-19/faq

FINRA Coronavirus Pandemic Page

https://www.finra.org/rules-guidance/key-topics/covid-19

Brandon Klerk https://www.halyardcompliance.com
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