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Proposed Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID-19). The temporary amendments are in effect through April 30, 2021, pending any future extensions.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 243.79 KB
Notice of Filing and Immediate Effectiveness PDF - 268.28 KB