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Stay Up-to-date With Regulatory Relief with FAQ’s from FINRA




Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in their updated Frequently Asked Questions. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided. When appropriate, FINRA will publish a Regulatory Notice announcing a termination date for the regulatory relief that will provide member firms with time to make necessary operational adjustments.

CCG is proudly supporting the following organizations:

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