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Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-026 from December 31, 2020, to April 30, 2021. Due to the impacts of COVID-19 on the administration of FINRA qualification examinations at test centers, SR-FINRA-2020-026 extended the 120-day period that certain individuals can function as a principal or Operations Professional without having successfully passed an appropriate qualification examination through December 31, 2020.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 106.66 KB
Federal Register Notice PDF - 244.89 KB