Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June 30, 2022 within the scope of the supplementary material. The proposed extension of Rule 3110.17 is necessary to address the continuing operational challenges resulting from the COVID-19 pandemic many member firms face in planning for and timely conducting, during the first half of calendar year 2022, the on-site inspection component of Rule 3110(c) (Internal Inspections) at locations requiring inspection in calendar year 2022.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 2.08 MB||New|
|Notice of Filing and Immediate Effectiveness||PDF - 341.73 KB|