The Financial Industry Regulatory Authority says the shift to remote work caused by the coronavirus pandemic has made it difficult for its employees to serve documents in hard copy as required by law, but a quick rule change could ease the pressure.
FINRA asked the U.S. Securities and Exchange Commission on Thursday to approve a rule change that would allow the brokerage regulator to serve documents by email and augment its operations in other ways to account for difficulties created by the COVID-19 crisis.
‘Enforcement 40’ for 2020
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