FINRA Proposes Extending Expiration Date on Temporary Pandemic-related Relief
FINRA proposed extending the expiration date on previously issued COVID-related relief.
The extension, from July 31, 2022 to October 31, 2022, affects temporary relief from some timing, method of service and other procedural requirements in FINRA rules, and allows hearings and adjudications to be done by video conference when warranted. The extension was filed to be immediately effective (See also previous coverage here and here).
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FINRA proposed extending temporary Covid-related relief from procedural requirements in FINRA rules, and to conduct certain hearings by videoconference.
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FINRA proposed a rule change to extend from August 31, 2021, to December 31, 2021, the expiration date for temporary amendments that (i) provide relief to FINRA staff from certain enforcement and procedural requirements and (ii) allow virtual hearings.
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FINRA proposed a rule change that would extend from April 30, 2021 to August 31, 2021 the expiration date for temporary amendments that (i) provide relief to FINRA staff from certain enforcement and procedural requirements and (ii) allow virtual hearings.
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FINRA proposed a rule change that would extend the expiration date for temporary amendments that (i) allow virtual hearings and (ii) provide relief to FINRA staff from certain enforcement and procedural requirements.
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- SR-FINRA-2020-015: 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-2020-027: Proposed Rule Change to Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 to Permit OHO and NAC Hearings Under Those Rules to Be Conducted by Video Conference
- 85 FR 55712 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted b ...
- FINRA Expiration Date: Temporary Rule Amendments to Allow Virtual Hearings
- 87 FR 43335 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027
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