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ARTICLE · 16 JUNE 2020

Additional FAQs On FINRA Coronavirus Pandemic Relief

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FINRA provided7 additional guides on documentation, individual registration, qualification examinations and supervision, all in connection with the temporary relief provided to FINRA

United StatesCoronavirus (COVID-19)
Bradley Berman
Bradley Berman
J. Paul Forrester
J. Paul Forrester
Gonzalo Go
Gonzalo Go
Lawrence Hamilton
Lawrence Hamilton
Anna T. Pinedo
Anna T. Pinedo
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FINRA provided7 additional guides on documentation, individual registration, qualification examinations and supervision, all in connection with the temporary relief provided to FINRA member firms due to the Coronavirus pandemic.

A FINRA member firm is required to document its reliance on any temporary relief from obligations in rules or requirements during the COVID-19 pandemic, such as new procedures that vary from its written supervisory procedures. If FINRA deems appropriate, FINRA will guide its member firms if, where and how to publicly disclose such reliance.

FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) requires members to establish and implement written procedures reasonably designed to verify the accuracy and completeness of the information contained in an applicant's initial or transfer Form U4 no later than 30 calendar days after the Form U4 is filed with FINRA. It also requires each FINRA member to include in

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