In recent weeks, the Financial Industry Regulatory Authority (FINRA) has offered various forms of relief and published information in response to the latest COVID-19 developments. Most recently, FINRA:

  • updated the FAQs Related to Regulatory Relief Due to the Coronavirus Pandemic to address (1) the payment of Gross Income Assessments by funding portal members, and (2) compliance issues related to fixed income mark-up disclosure requirements; and
  • provided an update on the remote proctoring of FINRA-administered exams, which will allow candidates to use their personal or firm-provided camera-equipped computer to take qualifications examinations. FINRA currently is conducting a trial of the online testing service.

More information is available on FINRA’s landing page for COVID-19.