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Financial Services Law Insights and Observations

FINRA updates Covid-19 supervisory FAQs to extend regulatory deadlines

Federal Issues Covid-19 FINRA Supervision

Federal Issues

On May 19, FINRA updated its Covid-19 FAQs (previously discussed here, here, here, here, and here) to extend certain reporting, certification, and testing requirements until June 30, 2020. First, FINRA extended the deadline for registered persons temporarily functioning as principals under FINRA Rule 1210.04 to pass qualification examinations. Second, FINRA extended the deadline for reports related to a member’s supervisory control system that are required under FINRA Rule 3120. Finally, FINRA extended the deadline for members to execute certifications required under FINRA Rule 3130.

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