On March 9, 2020, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 20-08 (Notice) with respect to business continuity planning in connection with the recent coronavirus (COVID-19) outbreak. ...more
3/12/2020
/ Best Practices ,
Broker-Dealer ,
Business Continuity Plans ,
China ,
Coronavirus/COVID-19 ,
Crisis Management ,
Cybersecurity ,
Emergency Management Plans ,
Financial Industry Regulatory Authority (FINRA) ,
Flexible Work Arrangements ,
Forced Leave of Absences ,
Infectious Diseases ,
Military Service Members ,
National Guard ,
Public Health ,
Regulatory Requirements ,
Relief Measures ,
Required Forms ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Telecommuting