Financial Services Sector Designated an Essential Critical Infrastructure Sector in this Coronavirus Pandemic

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ACI’s broker dealer and investment advisory clients, as well as ACI itself, qualify as part of the DHS-designated Essential Critical Infrastructure Workforce for the financial industry.

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Regulatory Extensions Announced for COVID-19

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Effective March 20, 2020, FINRA released FAQs related to the COVID-19 pandemic and the impact the virus will have on small FINRA member firms meeting various FOCUS Report and annual audit requirements over the coming months.

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