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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 has postponed all in-person arbitration and mediation proceedings through January 31, 2021.
FINRA-Administered Exams
View FINRA's updates about remote exams, the availability of Prometric test centers and any extensions for exam enrollment windows.
OHO Hearings
OHO has postponed in-person hearings of disciplinary proceedings through October 2, 2020.
Temporary Amendments to FINRA Rules 

FINRA is temporarily amending FINRA rules pursuant to rule filings with the SEC.

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.

 

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.

Watch FINRA’s new Virtual Conference Panels to hear the most up-to-date compliance information directly from industry and regulatory experts right from the comfort of your home.

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

The Coronavirus Is Novel, but Crisis-related Scams Are Nothing New
Investors should be wary of schemes on the internet and social media claiming to raise money for companies promising new health care products that detect, treat, or cure COVID-19. While some could be legitimate, many will ring hollow, leaving investors with nothing but broken promises and empty pockets.

COVID-19 Early Withdrawals
FINRA, NASAA, and the staff of the SEC’s Office of Investor Education and Advocacy have joined together to provide this warning to investors about promoters targeting retirement accounts, as well as to provide a few key considerations for investors thinking of using 401(k) withdrawals or loans to purchase securities.

Fraud and Your Investment Accounts During COVID-19 Pandemic
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud. This article highlights four common scams to look out for.

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.