FINRA extended the expiring qualification examination windows to December 31, 2020, for (i) individuals working as "Operations Professionals" under FINRA Rule 1220(b)(3)(B) ("Registration Categories"), and (ii) individuals who are designated as principals under FINRA Rule 1210.04 ("Registration Requirements").
FINRA provided extensions for the completion of qualifying examinations and firm certifications, and for supervisory control system reports and certain supervisory certifications.
FINRA directed firms to document any reliance on temporary relief from regulatory obligations during the COVID-19 pandemic.
FINRA issued new COVID-19-related guidance on (i) fixed income mark-up disclosures and (ii) the payment of Funding Portal Gross Income Assessments.
FINRA provided guidance to address issues arising from temporary relief extended to firms in response to COVID-19 challenges.
FINRA issued a new series of FAQs concerning the implementation of FINRA Gateway and the related implications for Firm Gateway.
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