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Business in the Time of COVID-19: BCPs, Regulatory Relief & More

March 31, 2020

The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote.

The shift has a number of implications when it comes to business continuity plans, the security of firm’s networks and the ability to comply with various rules and requirements.

On this episode, our first to be remotely recorded, we talk to FINRA’s Chief Legal Officer Bob Colby and Head of Member Supervision Bari Havlik to learn what FINRA expects at this time and how firms—and FINRA—are adapting to the current situation.

Resources mentioned in this episode:

Regulatory Notice 20-08: Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief

Rule 4370: BCPs and Emergency Contact Information

COVID-19 Resource Page


Cybersecurity Alert: Measures to Consider as Firms Respond to the Coronavirus Pandemic

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