Compliance News: FINRA, SEC, MSRB and NFA Issue Regulatory Notices Regarding Coronavirus

In light of recent public health concerns regarding the spread of Coronavirus, U.S. regulators have issued a number of Regulatory Notices and public announcements related to Coronavirus. Topics include supervision, branch offices, cybersecurity, business continuity planning, regulatory filings, cooperation with regulators and more.  You may find links to these notices below.

• FINRA Regulatory Notice 20-08 – Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief (https://www.finra.org/rules-guidance/notices/20-08)

• MSRB Notice 2020-07 – MSRB Reminds Regulated Entities of Application of Supervisory Requirements in Light of Coronavirus (http://www.msrb.org/~/media/Files/Regulatory-Notices/Announcements/2020-07.ashx??n=1 )

• NFA Notice I-20-10: Information on Coronavirus/COVID-19 (https://www.nfa.futures.org/news/newsNotice.asp?ArticleID=5208)

• SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) ( https://www.sec.gov/news/press-release/2020-53)

Please continue to monitor your respective regulator’s communications for additional information.