As we reported in a previous alert, the SEC and FINRA recently confirmed that Regulation Best Interest (“Regulation BI”) will go into effect on the scheduled compliance date of June 30, 2020, despite the impact of the...more
Although the SEC has been granting regulatory relief in a number of areas as a result of the COVID-19 outbreak, its Office of Compliance, Inspections and Exams (OCIE) confirmed in a recent Risk Alert that Regulation Best...more
In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more
3/25/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Late Fees ,
Regulatory Requirements ,
Remote Working ,
Reporting Requirements ,
Signatures