Regulatory Alerts2025-01-27 | Regulatory Notice 25-02Added · Updated
Guidance to Members Affected by California Wildfires
FINRA temporarily suspends requirements for updating Form U4 and submitting Form BR for emergency office relocations caused by the California wildfires. The regulator extends qualification examination windows for impacted individuals to March 16, 2025, and delays payment deadlines for Gross Income and Personnel Assessments while waiving associated late fees. FINRA permits members to hold customer mail and deliver checks without standard consent under specific conditions, and clarifies that donations to institutional customers' employees are not subject to Rule 3220(a).
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