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For updates and guidance related to COVID-19 / Coronavirus, click here.

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

Regulatory and Information Notices
Find guidance regarding pandemic-related business continuity planning, cybersecurity measures to consider and regulatory relief.
Frequently Asked Questions
FINRA is providing temporary relief for member firms from rules and requirements in the Coronavirus FAQ.
SEC Guidance
The SEC is providing assistance to various classes of market participants and certain specific entities including relief and guidance.
Arbitration & Hearings
FINRA is postponing all in-person arbitration and mediation proceedings. In addition, the OHO has postponed hearings of Disciplinary Proceedings.
FINRA-Administered Exams & Continuing Education
Prometric is closing its testing centers for 30 days, starting March 18, 2020. FINRA will extend all open enrollment windows that are scheduled to expire by the end of May.
Fingerprints
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.

Requests for Comments
The comment period for Regulatory Notice 20-05 has been extended to May 31, 2020. In addition, the comment period for Regulatory Notice 20-04 has been extended to May 15, 2020.

Impact on FINRA Events & Conferences

The health and well-being of our employees and stakeholders is a top priority for FINRA. Therefore, FINRA is canceling or postponing several of our upcoming events.


Investor Education

Financial Peace of Mind in the Age of Coronavirus
When it feels like so many things are out of our control, sometimes the best thing to do is focus on the things that are. Here are five questions to ask for some financial peace of mind in the age of coronavirus.

Fraud and Coronavirus (COVID-19)
Fraudulent schemes related to the coronavirus (COVID-19) pandemic have arrived, and they are coming in many forms, from investment fraud to fake CDC emails to phishing scams. 

Use FINRA's Investor Complaint Center to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.


State “Shelter-in-Place” and “Stay-at-Home” Orders

To aid member firms, FINRA is providing a list of state orders that impose workplace restrictions in response to the COVID-19 pandemic. Many of the orders list financial institutions as "essential" businesses and permit critical on site functions to continue, subject to limitations.