COVID-19 / Coronavirus
FINRA recognizes the significant impacts that the spread of coronavirus disease (COVID-19) may have on member firms, investors and other stakeholders.
FINRA is committed to providing guidance, updates and other information to help stakeholders stay informed about the latest developments. New information will be posted on this page as it becomes available.
Operating Status
Due to the COVID-19 outbreak, most FINRA staff are working remotely. FINRA remains fully operational through the support of our robust remote work capabilities and continues to carry out all of our regulatory responsibilities, protecting investors and market integrity.
Regulatory Operations and Guidance
Find guidance regarding pandemic-related business continuity planning, cybersecurity measures to consider and regulatory relief.
FINRA is providing temporary relief for member firms from rules and requirements in the Coronavirus FAQ.
The SEC is providing assistance to various classes of market participants and certain specific entities including relief and guidance.
Effective August 2, 2021, all FINRA DRS hearing locations are open for in-person arbitration and mediation proceedings.
View FINRA's updates about remote exams, the availability of Prometric test centers and any extensions for exam enrollment windows.
Temporary Amendments to FINRA Rules
FINRA is temporarily amending FINRA rules pursuant to rule filings with the SEC.
FINRA is providing a temporary extension of time for submission of fingerprint information under Rule 1010(d).
Membership Application Program
Pre-filing meetings and membership interviews for new and continuing membership applications will be conducted via video conference. FINRA will grant a courtesy extension on new or continuing membership applications, if needed.
Impact on FINRA Events & Conferences
The health and well-being of our employees and stakeholders is a top priority for FINRA. We continue to assess the current environment and hope to offer in-person events in the near future.
COVID Fraud Task Force
FINRA formed a COVID Fraud Task Force in March 2020 to establish a coordinated response across the organization to potential COVID-related fraud in the broker-dealer industry and in U.S. markets. The task force – a collaborative effort headed by Executive Vice President Greg Ruppert – manages a centralized repository of intelligence gathered from and accessed across the organization to help ensure efficiency and maximum coordination.
Investor Education
Between March and October 2020, FINRA’s Office of Investor Education provided guidance to retail investors in the form of Investor Insights articles, now retired, that focused on:
- investment fraud and scams related to the COVID-19 pandemic;
- considerations for those thinking of using COVID-19 early 401(k) withdrawals or loans to purchase securities; and
- questions to ask to help create financial peace of mind in the age of coronavirus.
Learn more about how to protect your money and avoid fraud.