FINRA proposed temporarily extending the deadline for firms to complete annual office inspections. FINRA is proposing to adopt temporary Supplementary Material .16 ("Temporary Extension of Time to Complete Office Inspections") under FINRA Rule 3110 ("Supervision"). The proposed extension would push back the office inspection deadline for member firms in calendar year 2020 to March 31, 2021.
Originally published June 22, 2020.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.