Daryl Landy

Daryl Landy

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Updated: COVID-19: FINRA, SEC, And State Relief And Guidance For Broker-Dealers

The Financial Industry Regulatory Authority, US Securities and Exchange Commission, and state securities regulators recognize the significant impact of the coronavirus (COVID-19) pandemic on broker-dealers, investors, and...more

4/9/2020  /  Broker-Dealer , Coronavirus/COVID-19 , Financial Industry Regulatory Authority (FINRA) , Registration Requirement , Regulatory Requirements , Relief Measures , SEC Examination Priorities , Securities and Exchange Commission (SEC)

COVID-19: FINRA and SEC Relief and Guidance for Broker-Dealers

The US Securities and Exchange Commission and the Financial Industry Regulatory Authority recognize the significant impact of the coronavirus (COVID-19) pandemic on broker-dealers, investors, and other stakeholders, and have...more

3/24/2020  /  Broker-Dealer , Coronavirus/COVID-19 , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC)
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