Guidance

Events & Training
The Small Firm Conference Call
May 26, 2021
Guidance
Coronavirus Impact on OHO Hearings
September 28, 2020
Podcast
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
June 09, 2020
Virtual Conference Panel
How to Protect Yourself and Your Firm From Cyberattacks When Working From Home During COVID-19
May 19, 2020
Podcast
Market Structure & COVID-19: Handling Increased Volatility and Volumes
April 28, 2020
Podcast
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
March 31, 2020
Guidance
SEC Guidance and Resources Relevant to Member Firms
March 27, 2020
FAQ
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
March 24, 2020
Guidance
SEC Provides Temporary Exemptive Relief from Fingerprinting Requirements for, Among Others, Members and All of Their Associated Persons; FINRA Provides Additional Temporary Extension of Time for Submission of Fingerprint Information for Registered Persons
March 24, 2020
Guidance
Coronavirus Impact on FINRA-Administered Exams
March 23, 2020
Guidance
Regulatory Operations Update
March 23, 2020
Guidance
Regulatory Notice 09-59
October 12, 2009
Compliance Tools
Small Firm Business Continuity Plan Template
Guidance
Temporary Amendments to FINRA Rules
Guidance
Active Military Leave Guidance
FAQ
Business Continuity Planning FAQ