Updated: COVID-19: FINRA, SEC, and State Relief and Guidance for Broker-Dealers

March 24, 2020 (Updated March 30, April 9, and April 20 2020)

The Financial Industry Regulatory Authority, US Securities and Exchange Commission, and state securities regulators recognize the significant impact of the coronavirus (COVID-19) pandemic on broker-dealers, investors, and other stakeholders, and have provided important guidance and relief to broker-dealers on how to meet some of these challenges.

This LawFlash, originally published on March 24, has been periodically updated and now addresses key relief and guidance issued through 2:00 pm ET on April 19 by the Financial Industry Regulatory Authority (FINRA), US Securities and Exchange Commission (SEC), and state securities regulators. We will continue to update this LawFlash as additional relief and guidance is published.

Read the full LawFlash