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Financial Services Law Insights and Observations

FINRA provides guidance on whether member firms must disclose reliance on agency relief during Covid-19

Federal Issues Covid-19 FINRA Examination

Federal Issues

On May 21, FINRA updated its frequently asked questions (previously discussed herehereherehere, here, and here) to provide additional detail on how and when to document that it has relied on temporary relief from FINRA rules during the Covid-19 pandemic.  Among other things, the updated FAQs also address Form U4 filings and temporary extensions of time to pass qualification examinations for operations professionals.

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