INSIGHT: FINRA Guidance Offers Broker-Dealers Minor Relief on Business Continuity Plans

Date: March 31, 2020

Publication: Bloomberg Law

Business continuity plans for securities broker-dealers normally address emergency office relocations and remote work arrangements. Thompson Hine attorneys Riccardo M. DeBari and Brian Lanciault review recent guidance from FINRA that eases some obligations during the new coronavirus pandemic. Read more