{"id":"SEC-13-028","kind":"order","level":"sector-regulator","jurisdiction":"United States","state":"","metro":"","industry":"13","agency":"","eco":"","issuer":"Financial Industry Regulatory Authority (self-regulatory organization under SEC oversight)","authority":"FINRA Rule 4370 (business continuity plans); Exchange Act sec. 15A","instrument":"Regulatory Notice 20-08","title":"Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief","dateIssued":"2020-03-09","effective":"2020-03-09","end":"relief wound down 2021-2022","startDate":"2020-03-09","endDate":"2021-09-30","quarters":["2020Q2","2020Q3","2020Q4","2021Q1","2021Q2","2021Q3"],"types":["OTHER","TELE"],"addressees":["FINRA member broker-dealers"],"clause":"Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States.... [FINRA] provides pandemic-related guidance and regulatory relief to member firms from some requirements [remote work locations, Form U4 branch registration, supervision, and Rule 4370].","enforcement":"SRO rule (context; FINRA is not a governmental authority)","functions":["WM (broker-dealer branch and remote supervision)","OP"],"notes":"Context for the wealth function; not pleaded as a governmental order.","sourceUrl":"https://www.finra.org/rules-guidance/notices/20-08","snapshot":"https://web.archive.org/web/20200315132951/https://www.finra.org/rules-guidance/notices/20-08","fileExists":true,"fileBytes":369596,"grade":"primary","character":"","description":"","collection":"SEC-13","url":"/library/SEC-13-028","exhibitUrl":"/exhibit/SEC-13-028","citation":"Financial Industry Regulatory Authority (self-regulatory organization under SEC oversight), Regulatory Notice 20-08 (Mar. 9, 2020) (Ex. SEC-13-028)","stateName":"","related":[]}