FINRA Names Sarah Gill As Ombudsman, Cindy Foster As VP Of MAP Program mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.
FINRA Proposes Conforming Amendments To Its Continuing Member Application Form - Corporate/Commercial Law mondaq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondaq.com Daily Mail and Mail on Sunday newspapers.
FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct | Goodwin jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
FINRA Proposes Extension of Temporary COVID-19 Related Amendments Friday, April 9, 2021
On March 31 and April 1, the Financial Industry Regulatory Authority (FINRA) proposed rule changes that would extend the expiration date for temporary amendments that (1) provide relief to individuals functioning as a principal or operations professional, (2) provide relief to FINRA staff from certain enforcement and procedural requirements, and (3) allow virtual hearings.
Specifically, the proposal would extend:
SR-FINRA-2020-026, which would extend the 120-day period that certain individuals can function as a principal or operations professional without having successfully passed an appropriate qualification examination. The expiration date is extended from April 30 to June 30. SR-FINRA-2020-026.