Overview

Due to the coronavirus pandemic (COVID-19), FINRA has advised member firms that it is providing temporary relief from certain rules and requirements in the form of Frequently Asked Questions.

On May 7, 2020, Grace Vogel, PwC Managing Director, facilitated a virtual discussion with Bill Wollman, FINRA Executive Vice President, Head of Office of Financial and Operational Risk Policy, about incoming questions from member firms, the challenges during these unprecedented times and regulatory updates under the circumstances.

Replay Now Available: Watch the Webinar On-demand

Topics include:

  • Audit and FOCUS extensions
  • Mail processing at residence
  • Registrations and qualification
  • Branch office inspections
  • Net capital
  • CARES Act covered loans
  • Supervision
  • Modifications to FINRA programs
  • And more

Featured Speakers

SIFMA Webinar Series

Webinar: Virtual Fireside Chat with FINRA’s Bill Wollman

Date

May 07, 2020

Location

Virtual

Hosted by

SIFMA Financial Management Society

Overview

Due to the coronavirus pandemic (COVID-19), FINRA has advised member firms that it is providing temporary relief from certain rules and requirements in the form of Frequently Asked Questions.

On May 7, 2020, Grace Vogel, PwC Managing Director, facilitated a virtual discussion with Bill Wollman, FINRA Executive Vice President, Head of Office of Financial and Operational Risk Policy, about incoming questions from member firms, the challenges during these unprecedented times and regulatory updates under the circumstances.

Replay Now Available: Watch the Webinar On-demand

Topics include:

  • Audit and FOCUS extensions
  • Mail processing at residence
  • Registrations and qualification
  • Branch office inspections
  • Net capital
  • CARES Act covered loans
  • Supervision
  • Modifications to FINRA programs
  • And more

Featured Speakers

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official webinar press policy.

Accreditation

Live webinar attendees are eligible for up to 1.5 CPE Credits.

Attendees will learn about the changes to some of FINRA’s rules and requirements as a result of the COVID-19 situation.

Field of Study: Finance
Program Level: Intermediate
Delivery Method: Group Internet
Advance Preparation: None

 CPE

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

 

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.