News & Analysis as of

Remote Working › Coronavirus/COVID-19 › Financial Industry Regulatory Authority (FINRA)

Latham & Watkins LLP

FINRA Releases Long-Anticipated Guidance on New Work-From-Home Exemption Ahead of Impending COVID-19 Relief Expiration

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FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more

Burr & Forman

Remote Work The New Normal: SIFMA Proposes Broad Rule Revisions

Burr & Forman on

The Securities Industry and Financial Markets Association (“SIFMA”) recently proposed sweeping modernization of industry self-regulatory rules to reflect firms’ successful pivot to remote operations over the past year. SIFMA...more

McGuireWoods LLP

New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

McGuireWoods LLP on

Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office operations by the end of the year. Yet as 2021 commences, remote work has...more

King & Spalding

FINRA Seeks Feedback on Pandemic-Related Impacts and Lessons

King & Spalding on

On December 16, 2020, FINRA issued Regulatory Notice 20-42 announcing a retrospective rule review to seek comments on “Lessons From the COVID-19 Pandemic.” In the notice, FINRA requests interested parties to provide...more

Burr & Forman

FINRA Shares Firms’ WFH Practices

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On May 28, 2020, FINRA issued its Regulatory Notice 20-16 sharing firms’ WFH practices observed to date.  They include common practices adopted across most industries, as one would expect....more

UB Greensfelder LLP

FINRA Addresses Online Fraud In The Face Of COVID-19

UB Greensfelder LLP on

Online fraud is a bigger business than ever in the current pandemic environment. Far from “self-isolating,” fraudsters are seeing online work as an opportunity to take advantage of firms and their customers, using stolen...more

Burr & Forman

FINRA Proposes WFH Rules for Disciplinary Matters

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On May 8, FINRA filed an expedited request for an immediate rule change that would allow service by email, extensions of time, and video-conference hearings in member-application, disciplinary proceedings and appeals.  FINRA...more

Bracewell LLP

Regulating Broker-Dealers at a (Social) Distance: FINRA Provides COVID-19 Business Continuity Planning Guidance and Regulatory...

Bracewell LLP on

In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more

Sheppard Mullin Richter & Hampton LLP

FINRA’s COVID-19 Response

Sheppard Mullin Richter & Hampton LLP on

In response to the outbreak of COVID-19, FINRA has announced that most FINRA staff will be working remotely, but will utilize remote work capabilities to remain “fully operational.” FINRA has also published guidance on its...more

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