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Financial Services Law Insights and Observations

FINRA posts FAQs related to regulatory relief during the Covid-19 pandemic

Federal Issues Covid-19 FINRA Anti-Money Laundering Securities Broker-Dealer

Federal Issues

Since March 18, FINRA has been maintaining and updating FAQs related to regulatory relief due to the Covid-19 pandemic. The FAQs discuss questions concerning, among other things, advertising regulation, anti-money laundering, best execution for buying and selling securities, broker-dealer registration, business continuity planning, and filing extensions for certain reports.

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