On January 10, 2023, the Financial Industry Regulatory Authority (“FINRA”) issued its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”). The Report, which is a more comprehensive version of FINRA’s...more
On Monday, FINRA published Regulatory Notice 20-08 specifically addressing pandemic-related business continuity considerations in light of the recent coronavirus (“COVID-19”) outbreak, as well as providing potential...more