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Relief Measures › Financial Industry Regulatory Authority (FINRA) › Financial Services Industry

Mayer Brown

FINRA Announces Effective Dates for Remote Inspections Pilot Program & Residential Supervisory Location Rules; COVID-19 Relief...

Mayer Brown on

The Financial Industry Regulatory Authority, Inc. (“FINRA”) announced via Regulatory Notice 24-02 (the “Notice”) the effective dates and other important timeframes for new FINRA Rules 3110.18 (Remote Inspections Pilot...more

Katten Muchin Rosenman LLP

Business Not as Usual – COVID 19: US Securities and Derivatives Industry Regulators Provide Relief and Guidance

Katten Muchin Rosenman LLP on

Key Points - - This Katten Advisory focuses on the impact of the COVID-19 outbreak on regulatory compliance obligations of financial firms operating in the United States, with a focus on securities and derivatives industry...more

Burr & Forman

FINRA & COVID-19: Review Your BCP; OK’s Remote Work

Burr & Forman on

This week FINRA issued Reg. Notice 20-08 on “Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief.”...more

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