Nancy Schroeder

Nancy Schroeder

WilmerHale

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FINRA Issues Guidance and Regulatory Relief Related to COVID-19

FINRA released Regulatory Notice 20-08, “Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief,” (the Notice) on March 9, 2020. The Notice primarily serves as (1) a reminder of firms’ obligations to...more

3/10/2020  /  Business Continuity Plans , Coronavirus/COVID-19 , Corporate Governance , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Notice Requirements , Relief Measures , Securities and Exchange Commission (SEC) , Time Extensions
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