On April 13, 2020, the Financial Industry Regulatory Authority (FINRA) issued guidance for member firms and registered persons regarding the Paycheck Protection Program (PPP) created under Section 1102 of the Coronavirus Aid, Relief, and Economic Security (CARES) Act. FINRA specifically addressed the interaction between PPP loan forgiveness and disclosure obligations under Question 14K on Form U4.
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In an effort to keep you apprised of the rapid developments surrounding COVID-19, we wanted to share with you further guidance on the Financial Services Sector Essential Critical Infrastructure Workers from the U.S. Department of the Treasury. As always, please let us know how we can help you.
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