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Financial Services Law Insights and Observations

FINRA releases pandemic-related guidance in connection with Company-Related Action submissions

Federal Issues Covid-19 FINRA

Federal Issues

On March 12, FINRA released guidance in connection with Company-Related Action submissions. The guidance provides that FINRA’s Market Operations Department will not deem a Company-Related Action as late for purposes of assessing late fees if an issuer is unable to provide notice sufficiently in advance of the record or effective date due to the Covid-19 outbreak.

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