Regulatory Notice 12-45

Guidance to Members Affected by Hurricane Sandy

Executive Summary

 

Due to the impact from Hurricane Sandy, FINRA is providing guidance on a number of regulatory and compliance issues, including emergency office relocations, continuing education requirements for registered personnel, registered personnel engaged in active military duty, regulatory filings and inquiries, membership applications and customer communications. In addition to the guidance discussed in this Notice, firms also are reminded that FINRA’s website contains a dedicated page for other advisories issued by FINRA as a result of Hurricane Sandy.

 

Questions

Questions or comments concerning this Notice may be directed to

  • Daniel M. Sibears, Executive Vice President, Member Regulation Programs, at (202) 728-6911; or
  • the FINRA Call Center at (301) 590-6500.