3110. Supervision
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
SR-FINRA-2020-019
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to adopt temporary Supplementary Material .16 (Temporary Extension of Time to Complete Office Inspections) under FINRA Rule 3110 (Supervision) that, in light of the operational challenges member firms are facing due to the outbreak of the coronavirus disease (COVID-19), would extend the time by which member firms must complete their calendar year 2020 inspection obligations under Rule 3110(c) (Internal Inspections) to March 31, 2021.
SR-FINRA-2020-007
Rule Filing Status: Approved
SR-FINRA-2020-018
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.
Regulatory Notice 20-19
Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) are enhancing the Electronic Blue Sheets (EBS) to improve their ability to analyze broker-dealers’ trading activities.
SR-FINRA-2020-019
Financial Industry Regulatory Authority, Inc.