FINRA Extends Temporary Relief for FINRA Staff from Certain Procedural Requirements
FINRA proposed to extend temporary relief for FINRA staff from certain enforcement and other procedural requirements from December 31, 2021, until March 31, 2022. FINRA stated this extension is necessary due to continued uncertainty related to the presence of COVID-19 variants.
As previously covered, FINRA extended this temporary relief several times.
The proposed rule is effective immediately. Comments may be submitted until January 7, 2022.
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A FINRA rule proposal to provide the self-regulatory agency with temporary relief from certain enforcement and other procedural requirements was published in the Federal Register
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FINRA proposed rule amendments to extend from July 31, 2020 to an indefinite future date, relief for the self-regulatory agency from certain enforcement and other procedural requirements.
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FINRA proposed rule amendments to provide the self-regulatory agency temporary relief from certain enforcement and other procedural requirements while operations are impacted by the coronavirus.
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- FINRA Rule 1012: General Provisions
- FINRA Rule 1015: Review by National Adjudicatory Council
- FINRA Rule 6490: Processing of Company-Related Actions
- FINRA Rule 9132: Service of Orders, Notices, and Decisions by Adjudicator
- FINRA Rule 9133: Service of Papers Other Than Complaints, Orders, Notices, or Decisions
- FINRA Rule 9146: Motions
- FINRA Rule 9321: Transmission of Record
- FINRA Rule 9341: Oral Argument
- FINRA Rule 9349: National Adjudicatory Council Formal Consideration; Decision
- FINRA Rule 9351: Discretionary Review by FINRA Board
- FINRA Rule 9522: Initiation of Eligibility Proceeding; Member Regulation Consideration; and Requirements for an Interim Plan of Heightened Supervision
- FINRA Rule 9524: National Adjudicatory Council Consideration
- FINRA Rule 9525: Discretionary Review by the FINRA Board
- FINRA Rule 9559: Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series
- FINRA Rule 9630: Appeal
- FINRA Expiration Date: 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)
- SR-FINRA-2020-022: Proposed Rule Change to Further Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA -2020-015
- 86 FR 71695 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
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