SEC, FINRA Issue Coronavirus Warnings

March 11, 2020 by Melanie Waddell

The Securities and Exchange Commission on Monday urged its employees based in Washington, D.C., to work from home, as the Financial Industry Regulatory Authority on Monday warned broker-dealers to prepare themselves.

The SEC made the request after the agency was informed that an employee was treated for respiratory symptoms on Monday. “The employee was informed by a physician that the employee may have the coronavirus and was referred for testing,” an SEC spokesperson said in a statement.

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Originally Posted at ThinkAdvisor on March 10, 2020 by Melanie Waddell.